Madeline Ferreri
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.
Madeline Ferreri was a registered financial professional .
Madeline is a previously registered financial professional and started their career in finance in 1983. Madeline had worked at 12 firms and has passed the Series 63, SIE, Series 99, 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 26, 2022 - May 23, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 29, 2021 - March 18, 2022
JOSEPH GUNNAR & CO. LLC
December 22, 2020 - October 1, 2021
JOSEPH STONE CAPITAL L.L.C.
July 8, 2019 - December 23, 2020
WORDEN CAPITAL MANAGEMENT LLC
April 26, 2013 - July 18, 2019
SPARTAN CAPITAL SECURITIES, LLC
May 17, 2010 - February 18, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 24, 2003 - December 17, 2009
OSAIC WEALTH, INC.
November 16, 1994 - June 5, 2002
NOYES PARTNERS INCORPORATED
August 24, 1992 - November 16, 1994
KC MAY SECURITIES CORP.
January 13, 1992 - March 6, 1992
BLUESTONE CAPITAL CORP.
April 18, 1990 - February 14, 1991
GLOBAL AMERICA INCORPORATED
February 17, 1984 - April 13, 1989
LADENBURG THALMANN & CO. INC.
August 23, 1983 - January 25, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current 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.
