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Advisor at CWM, LLC
OMAHA, NE | Sarasota, FL
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 |
|---|---|---|---|---|---|---|
| CWM, LLC | Bd affiliated wealth | Jan 1, 2025 | n/a | yes | OMAHA, NE|Sarasota, FL | Current employment |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | May 16, 2018 | Apr 20, 2022 | no | TAMPA, FL|Lutz, FL|Lutz, FL | Previous registration |
| USAA FINANCIAL PLANNING SERVICES | Former SEC adviser | Jul 20, 2017 | Sep 19, 2017 | no | TAMPA, FL | Previous registration |
| CEDAR CAPITAL, LLC | Former SEC adviser | Feb 24, 2015 | Oct 30, 2015 | no | GLEN ELLYN, IL | Previous registration |
| GOOD HARBOR FINANCIAL | Former SEC adviser | Mar 28, 2014 | Jan 2, 2015 | no | BARRINGTON, IL | Previous registration |
| INVESCO ADVISERS, INC. | Asset manager | Aug 24, 2011 | Nov 18, 2013 | no | ATLANTA, GA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | CWM, LLC | Apr 20, 2022 | Jan 1, 2025 | 987 | Firm change after gap | Other |
| USAA FINANCIAL PLANNING SERVICES | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Sep 19, 2017 | May 16, 2018 | 239 | Firm change | Other |
| CEDAR CAPITAL, LLC | USAA FINANCIAL PLANNING SERVICES | Oct 30, 2015 | Jul 20, 2017 | 629 | Firm change after gap | Other |
| GOOD HARBOR FINANCIAL | CEDAR CAPITAL, LLC | Jan 2, 2015 | Feb 24, 2015 | 53 | Firm change | Other |
| INVESCO ADVISERS, INC. | GOOD HARBOR FINANCIAL | Nov 18, 2013 | Mar 28, 2014 | 130 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 127351:174020:IL:2015-01-02 | Jan 2, 2015 | Feb 24, 2015 | BARRINGTON, IL | Firm change |