Anita B. Rachu
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.
Anita Beth Rachu, who also goes by Anita Courchaine, Anita Rachu, was a registered financial professional .
Anita is a previously registered financial professional and started their career in finance in 1986. Anita had worked at 9 firms and has passed the Series 66, Series 63, 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
November 14, 2013 - April 25, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 14, 2013 - April 25, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 13, 2012 - October 25, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2012 - October 25, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
August 25, 2011 - May 21, 2012
FIDUCIARY FIRST ADVISORS, LLC
January 5, 2010 - July 1, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
April 25, 2006 - December 31, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
April 3, 2006 - July 1, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
March 13, 2002 - September 12, 2005
GREAT LAKES ADVISORS, LLC
January 3, 2002 - April 4, 2006
FOCUSED INVESTMENTS L.L.C.
August 23, 2000 - September 12, 2001
SII INVESTMENTS, INC.
January 28, 1992 - October 7, 1996
LUTHERAN BROTHERHOOD SECURITIES CORP.
May 21, 1986 - January 13, 1992
CETERA INVESTMENT 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
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.
