Billy K. Bolechala
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.
Billy Kim Bolechala was a registered financial professional .
Billy is a previously registered financial professional and started their career in finance in 1986. Billy had worked at 14 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 53, Series 4 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 29, 2005 - August 15, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 29, 2005 - August 15, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 24, 2003 - April 30, 2004
MORGAN STANLEY DW INC.
April 24, 2003 - April 30, 2004
MORGAN STANLEY DW INC.
January 2, 2001 - April 15, 2003
MUTUAL SECURITIES, INC.
December 6, 2000 - December 31, 2000
NATIONAL SECURITIES CORPORATION
May 20, 1998 - December 5, 2000
NATIONAL SECURITIES CORPORATION
March 18, 1998 - February 10, 2003
PACIFIC NORTHWEST ASSET MANAGEMENT, INC.
May 20, 1996 - May 19, 1998
FIRST MONTAUK SECURITIES CORP.
March 14, 1996 - June 18, 1996
WALNUT STREET SECURITIES, INC.
December 21, 1994 - October 4, 1995
TOLUCA PACIFIC SECURITIES CORP.
June 28, 1994 - November 2, 1994
NATIONAL CLEARING CORP.
November 5, 1993 - August 4, 1994
REYNOLDS KENDRICK STRATTON, INC.
December 24, 1992 - October 21, 1993
WILLIAM LAWRENCE SECURITIES, INC.
July 11, 1990 - February 2, 1993
BROKERS INVESTMENT CORPORATION
February 10, 1987 - July 9, 1990
FIDELITY BROKERAGE SERVICES LLC
April 23, 1986 - October 28, 1986
MERLIN EQUITIES 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.
