Daniel J. Korpalski
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.
Daniel Joseph Korpalski, who also goes by Daniel J Korpalski, Dan Korpalski, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1983. Daniel had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2017 - July 9, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 16, 2017 - July 9, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 22, 2010 - September 19, 2016
MML INVESTORS SERVICES, LLC
June 9, 1998 - September 19, 2016
MML INVESTORS SERVICES, LLC
July 7, 1995 - September 16, 1997
OSAIC WEALTH, INC.
March 3, 1992 - May 22, 1995
WALNUT STREET SECURITIES, INC.
April 2, 1985 - December 31, 1991
MARINER FINANCIAL SERVICES, INC.
June 19, 1983 - March 10, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 8/24/1978
Non-Member General Securities 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.
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