Thomas A. Blythe
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.
Thomas Andrew Blythe, who also goes by Thomas A. Blythe, Thomas Andrew Blythe, Tom Blythe, Thomas A Blythe, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2017 - July 31, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 21, 2015 - July 23, 2015
BIC DISTRIBUTORS, LLC
September 9, 2014 - March 12, 2015
BBVA SECURITIES INC.
February 29, 2012 - December 17, 2012
VERTICAL CAPITAL SECURITIES, LLC
February 9, 2009 - June 30, 2009
RMC CAPITAL MARKETS GROUP, INC
July 31, 2007 - November 5, 2008
FORESIDE FUND SERVICES, LLC
March 5, 2007 - July 10, 2007
TRANSAMERICA CAPITAL, LLC
February 5, 2003 - March 2, 2007
DIRECTED SERVICES LLC
September 17, 2001 - January 28, 2003
AUGUSTAR DISTRIBUTORS, INC.
September 11, 1992 - May 21, 2001
PRUDENTIAL EQUITY GROUP, LLC
August 17, 1989 - October 9, 1992
LEHMAN BROTHERS INC.
September 6, 1986 - August 26, 1989
THOMSON MCKINNON SECURITIES INC.
January 26, 1984 - September 2, 1986
FIRST JERSEY SECURITIES, INC.
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.
