DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Karen M Oberg

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Milwaukee, WI | MOORHEAD, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:81042e9e-16e8-b31d-f461-eb6a11d3e5e7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2005 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: Jan 8, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 8, 2002
First registration: Dec 19, 2005
Dual registered: yes, broker-dealer
Other names: KAREN MARIE THOMPSON|KAREN OBERG|Karen M Thompson|Karen M Oberg|KAREN MARIE OBERG
IAPD individual key: 4409324

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 29, 2021	n/a	yes	Milwaukee, WI\|MOORHEAD, MN	Current employment
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Dec 7, 2015	Mar 14, 2016	no	FARGO, ND	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Nov 26, 2007	Apr 10, 2014	no	FARGO, ND\|FARGO, ND	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 12, 2006	Sep 19, 2007	no	FARGO, ND	Previous registration
PIPER SANDLER & CO.	Institutional manager	Dec 19, 2005	Aug 12, 2006	no	FARGO, ND	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
WOODBURY FINANCIAL SERVICES, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Mar 14, 2016	Nov 29, 2021	2,086	Firm change after gap	Other
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	WOODBURY FINANCIAL SERVICES, INC.	Apr 10, 2014	Dec 7, 2015	606	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Sep 19, 2007	Nov 26, 2007	68	Firm change	Other
PIPER SANDLER & CO.	UBS FINANCIAL SERVICES INC.	Aug 12, 2006	Aug 12, 2006	0	Bulk transfer	Other

Relationships

Registered with (5)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Nov 29, 2021 to presentfactForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 7, 2015 to Mar 14, 2016factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Nov 26, 2007 to Apr 10, 2014factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 12, 2006 to Sep 19, 2007factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Dec 19, 2005 to Aug 12, 2006factForm ADV

Dated events

No dated event names this entity yet.