DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Orlando, 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 |
|---|---|---|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Jan 1, 2025 | n/a | yes | Orlando, FL | Current employment |
| MORGAN STANLEY | Wirehouse | Nov 16, 2021 | May 2, 2022 | no | Temple Terrace, FL | Previous registration |
| THRIVENT INVESTMENT MANAGEMENT INC. | Bd affiliated wealth | Mar 3, 2021 | Sep 20, 2021 | no | BERLIN, CT|MONTVALE, NJ | Previous registration |
| RBC CAPITAL MARKETS, LLC | National bd RIA | Aug 29, 2017 | Mar 2, 2021 | no | HARTFORD, CT|Farmington, CT | Previous registration |
| THRIVENT INVESTMENT MANAGEMENT INC. | Bd affiliated wealth | Dec 22, 2015 | Aug 18, 2017 | no | MONTVALE, NJ|BERLIN, CT | Previous registration |
| AMERITAS ADVISORY SERVICES | Former SEC adviser | Oct 10, 2014 | Dec 8, 2015 | no | LINCOLN, NE|NORTH HAVEN, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | May 2, 2022 | Jan 1, 2025 | 975 | Firm change after gap | Other |
| THRIVENT INVESTMENT MANAGEMENT INC. | MORGAN STANLEY | Sep 20, 2021 | Nov 16, 2021 | 57 | Firm change | Ibd to wirehouse |
| RBC CAPITAL MARKETS, LLC | THRIVENT INVESTMENT MANAGEMENT INC. | Mar 2, 2021 | Mar 3, 2021 | 1 | Firm change | Ibd to ibd |
| THRIVENT INVESTMENT MANAGEMENT INC. | RBC CAPITAL MARKETS, LLC | Aug 18, 2017 | Aug 29, 2017 | 11 | Firm change | Other |
| AMERITAS ADVISORY SERVICES | THRIVENT INVESTMENT MANAGEMENT INC. | Dec 8, 2015 | Dec 22, 2015 | 14 | Firm change | Other |