David Stoeffel
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.
David Stoeffel, who also goes by David G Stoeffel, David Grove Stoeffel, David Stoeffel, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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 25, 2018 - September 3, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 19, 2018 - September 3, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 3, 2007 - August 10, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 3, 2007 - August 10, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 31, 2005 - June 16, 2006
ZIEGLER CAPITAL MANAGEMENT, LLC
March 3, 2003 - June 16, 2006
B. C. ZIEGLER AND COMPANY
July 29, 2002 - February 25, 2003
NOMURA SECURITIES INTERNATIONAL, INC.
August 2, 1999 - March 13, 2002
FUNDS DISTRIBUTOR, LLC
January 12, 1999 - July 30, 1999
NOMURA SECURITIES INTERNATIONAL, INC.
November 12, 1997 - November 25, 1998
FUNDS DISTRIBUTOR, LLC
January 1, 1997 - October 3, 1997
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 14, 1994 - January 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 20, 1984 - July 27, 1994
CITIGROUP GLOBAL MARKETS 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.
