Gregory L. Finney
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.
Gregory Lee Finney was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1985. Gregory had worked at 10 firms and has passed the Series 63, SIE, Series 6, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2016 - May 15, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 22, 2015 - November 8, 2016
FIRST ALLIED SECURITIES, INC.
October 8, 2012 - February 27, 2015
SPIRE SECURITIES, LLC
April 30, 2012 - October 22, 2012
MISSIONSQUARE INVESTMENT SERVICES
March 13, 2009 - April 9, 2009
RBC CAPITAL MARKETS, LLC
January 10, 2008 - March 13, 2009
FERRIS, BAKER WATTS, LLC
June 6, 2006 - December 12, 2006
GOLDMAN SACHS CUSTODY SOLUTIONS
July 22, 2005 - May 15, 2006
GROVE POINT INVESTMENTS, LLC
January 2, 2004 - March 17, 2005
GROVE POINT INVESTMENTS, LLC
June 5, 2002 - July 30, 2003
DOMESTIC SECURITIES, INC.
May 31, 1985 - April 3, 1986
FORESTERS FINANCIAL SERVICES, 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
Series 55
Date: 6/26/2002
Limited Representative-Equity Trader ExamSeries 62
Date: 6/3/2002
Corporate Securities Limited Representative 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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