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Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Milwaukee, WI | Scottsdale, AZ
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 | Sep 18, 2018 | n/a | yes | Milwaukee, WI|Scottsdale, AZ | Current employment |
| LEARNVEST PLANNING SERVICES, LLC | Former SEC adviser | Jan 18, 2013 | Jun 7, 2018 | no | NEW YORK, NY|Scottsdale, AZ | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Apr 10, 2012 | no | New York, NY | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Mar 19, 2009 | Jun 1, 2009 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LEARNVEST PLANNING SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Jun 7, 2018 | Sep 18, 2018 | 103 | Channel change | Other |
| MORGAN STANLEY | LEARNVEST PLANNING SERVICES, LLC | Apr 10, 2012 | Jan 18, 2013 | 283 | Firm change | Wirehouse to new firm |
| MORGAN STANLEY & CO. LLC | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 162453:2881:AZ:2018-06-07 | Jun 7, 2018 | Sep 18, 2018 | SCOTTSDALE, AZ | Firm change |