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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Alyson Lancaster Frantz

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Indianapolis, IN

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Search this name across graphsid dfx:ria:2d07c677-e55f-f9a8-59e9-e84fc8f478b3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2011 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 15, 2011
First registration: Nov 16, 2011
Dual registered: yes, broker-dealer
Other names: ALY FRANTZ|Alyson Frantz|Aly L Frantz|ALYSON L FRANTZ
IAPD individual key: 5739471

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Nov 4, 2020	n/a	yes	Indianapolis, IN	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Apr 19, 2018	Sep 23, 2020	no	Indianapolis, IN	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Oct 28, 2014	Dec 22, 2016	no	INDIANAPOLIS, IN	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 16, 2011	Oct 29, 2014	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST ALLIED ADVISORY SERVICES, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Sep 23, 2020	Nov 4, 2020	42	Firm change	Other
RBC CAPITAL MARKETS, LLC	FIRST ALLIED ADVISORY SERVICES, INC.	Dec 22, 2016	Apr 19, 2018	483	Firm change after gap	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RBC CAPITAL MARKETS, LLC	Oct 29, 2014	Oct 28, 2014	-1	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Nov 4, 2020 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Apr 19, 2018 to Sep 23, 2020factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Oct 28, 2014 to Dec 22, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 16, 2011 to Oct 29, 2014factForm ADV

Dated events

No dated event names this entity yet.