Christopher A. Lowry
Professional summary
Christopher Alan Lowry was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Christopher had worked at 7 firms, which includes NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, NEW ENGLAND SECURITIES, INVESTACORP INC., FSC SECURITIES CORPORATION, AMERICAN EXPRESS FINANCIAL CORPORATION, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1991 - January 29, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 5, 1990 - December 5, 1990
NEW ENGLAND SECURITIES
August 10, 1989 - December 18, 1989
INVESTACORP, INC.
December 19, 1988 - June 23, 1989
FSC SECURITIES CORPORATION
February 9, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
February 9, 1984 - November 17, 1988
IDS LIFE INSURANCE COMPANY
February 9, 1984 - November 17, 1988
AMERIPRISE FINANCIAL SERVICES, 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
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
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