Richard R. Davis Cfa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard R Davis Cfa, who also goes by Richard Ros Davis, Richard R Davis, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 15, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2023 - January 15, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 10, 2023 - January 15, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 7, 2021 - November 8, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 23, 2021 - November 8, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 16, 2014 - May 13, 2019
VIRTUS INVESTMENT ADVISERS, LLC
February 6, 2013 - May 13, 2019
VP DISTRIBUTORS LLC
January 25, 2010 - February 24, 2012
RAMPART SECURITIES, INC.
February 19, 2009 - May 18, 2009
NATIXIS DISTRIBUTION, LLC
June 27, 2006 - January 29, 2007
THE COLONY GROUP OF NAPLES, LLC
May 12, 2005 - January 29, 2007
THE COLONY GROUP, LLC
August 4, 2003 - February 12, 2004
BARINGS SECURITIES LLC
March 4, 1996 - October 31, 2001
MELLON FUNDS DISTRIBUTOR, L.P.
December 21, 1982 - January 9, 1989
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/23/1985
Foreign Currency Options ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
