John J. Kersey
Professional summary
John Jay Kersey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, John had worked at 10 firms, which includes NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, ROBERT W. BAIRD & CO. INCORPORATED, WALNUT STREET SECURITIES INC., WMA SECURITIES INC., AEGON USA SECURITIES INC., BANNER FINANCIAL SERVICES GROUP, VESTAX SECURITIES CORPORATION, OSAIC FA INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, ANCHOR NATIONAL FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2006 - June 23, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 8, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
June 8, 2001 - June 23, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 29, 1997 - April 19, 2001
WALNUT STREET SECURITIES, INC.
May 7, 1997 - November 11, 1997
WMA SECURITIES, INC.
March 11, 1997 - May 9, 1997
AEGON USA SECURITIES INC.
February 9, 1996 - March 11, 1997
WALNUT STREET SECURITIES, INC.
June 24, 1994 - February 9, 1996
BANNER FINANCIAL SERVICES GROUP
February 18, 1992 - March 6, 1996
VESTAX SECURITIES CORPORATION
April 14, 1989 - February 14, 1992
OSAIC FA, INC.
April 14, 1989 - August 31, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 3, 1987 - April 20, 1989
VESTAX SECURITIES CORPORATION
April 22, 1986 - November 4, 1987
ANCHOR NATIONAL 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 62
Date: 8/16/1990
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
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