William D. Gombatz

Some features on this profile are disabled

CRD#: 1149098

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.

William David Gombatz, CFP®, ChFC® was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1983. William had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 9 and Series 10 exams.

Question & Answer

What are your service offerings?

Trust & estate planning

Insurance

Trading individual securities

Philanthropic services

Financial planning

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

106K

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1992

ChFC^®

Chartered Financial Consultant

Experience

Past

March 24, 2005 - December 3, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

WEST HARTFORD, CT

Past

November 3, 2003 - April 30, 2007

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

RIA

CRD#: 109729

MILWAUKEE, WI

Past

August 16, 2001 - January 31, 2006

NETWORK PLANNING ADVISORS, L.L.C.

RIA

CRD#: 109000

BLOOMFIELD, CT

Past

March 5, 1984 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

July 5, 1983 - December 3, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WEST HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA

Registered Investment Advisory firm - SEC (12/10/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/24/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/18/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/2001

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/12/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/1/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/22/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 3/16/2001

General Securities Sales Supervisor - General Module Examination

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA

Registered Investment Advisory firm - SEC (12/10/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797

Mailing Address

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797

Phone number

(414) 271-1444

Established

Wisconsin since 06/10/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

2,577

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NMIS DISCLOSURE BROCHURE 3.31.2025 (3/31/2025)

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William D. Gombatz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

NETWORK PLANNING ADVISORS, L.L.C.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/1999

Series 63

Date: 4/18/1986

SIE

Date: 10/1/2018

Series 7

Date: 3/20/2001

Series 22

Date: 4/12/1984

Series 6

Date: 7/1/1983

Series 9

Date: 3/22/2001

Series 10

Date: 3/16/2001

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors