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

Victoria Anne Nelson

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Milwaukee, WI | West Des Moines, IA

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Search this name across graphsid dfx:ria:ebc5a1ff-bfb0-7016-3e6d-6bddb4429913

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 24, 2001 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: Oct 11, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 11, 2001
First registration: Oct 24, 2001
Dual registered: yes, broker-dealer
Other names: VICTORIA ANNE GALLERY|VICKI NELSON|VICKI GALLERY|Vicki A Gallery|Vicki A Nelson|Victoria A Nelson|VICTORIA ANNE NELSON
IAPD individual key: 2361647

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	Sep 1, 2026	n/a	yes	Milwaukee, WI\|West Des Moines, IA	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Dec 22, 2015	Mar 24, 2025	no	W Des Moines, IA\|W Des Moines, IA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 10, 2009	Nov 23, 2015	no	WEST DES MOINES, IA	Previous registration
1717 CAPITAL MANAGEMENT COMPANY	n/a	Feb 4, 2003	Feb 8, 2008	no	WEST DES MOINES, IA\|WEST DES MOINES, IA	Previous registration
PIPER SANDLER & CO.	Institutional manager	Oct 24, 2001	Nov 25, 2002	no	W DES MOINES, IA	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
WELLS FARGO ADVISORS	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Nov 23, 2015	Dec 22, 2015	29	Firm change	Other
1717 CAPITAL MANAGEMENT COMPANY	WELLS FARGO ADVISORS	Feb 8, 2008	Feb 10, 2009	368	Firm change	Other
PIPER SANDLER & CO.	1717 CAPITAL MANAGEMENT COMPANY	Nov 25, 2002	Feb 4, 2003	71	Firm change	Other

Relationships

Registered with (4)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Dec 22, 2015 to Mar 24, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 10, 2009 to Nov 23, 2015factForm ADV
→ 1717 CAPITAL MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Feb 4, 2003 to Feb 8, 2008factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Oct 24, 2001 to Nov 25, 2002factForm ADV

Dated events

No dated event names this entity yet.