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Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
BELLINGHAM, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Feb 4, 2022 | n/a | yes | BELLINGHAM, WA | Current employment |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Dec 9, 2011 | May 28, 2020 | no | BELLINGHAM, WA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 23, 2010 | May 6, 2011 | no | BELLINGHAM, WA | Previous registration |
| WELLS FARGO INVESTMENTS, LLC | n/a | Dec 22, 2008 | Sep 15, 2009 | no | COLORADO SPRINGS, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | May 6, 2011 | Dec 9, 2011 | 217 | Firm change | Other |
| WELLS FARGO INVESTMENTS, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Sep 15, 2009 | Sep 23, 2010 | 373 | Firm change | Other |