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Rufus M. Cole

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CRD#: 1577742
RC

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.

Rufus Manning Cole, who also goes by Rufus M Cole, was a registered financial professional .

Rufus is a previously registered financial professional and started their career in finance in 1986. Rufus had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rufus M Cole

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 24, 2011 - November 14, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
WESTPORT, CT
Past

May 13, 2010 - January 24, 2011

AK CAPITAL LLC

BD
CRD#: 28345
NEW YORK, NY
Past

May 16, 2005 - July 21, 2006

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

December 18, 1998 - May 6, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 22, 1986 - December 18, 1998

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA
Registered Investment Advisory firm - SEC (12/10/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/19/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2001
General Securities Principal Examination

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA
Registered Investment Advisory firm - SEC (12/10/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
Mailing Address
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
Phone number
(414) 271-1444
Established
Wisconsin since 06/10/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,577

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NMIS DISCLOSURE BROCHURE 3.31.2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANYSOLE MEMBER
ALBERS, BRETT BERNARDTREASURER / FINANCIAL AND OPERATIONS PRINCIPAL6669890
DOLL, QUENTIN MICHAELVICE PRESIDENT - RISK PRODUCTS6776231
EULL, BRADLEY LEAHYSECRETARY2969269
KALINOWSKI, DAWN MARIEVICE PRESIDENT - CHIEF OPERATIONS OFFICER2770565
LUND, NICOLE ELLENVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4646907
SCHULTZ, DEBORAH ALLISONVICE PRESIDENT AND CHIEF RISK OFFICER7440134
TOMCZAK, BONNIE LYNNVICE PRESIDENT - WEALTH2966038
VALTERS, LAILA MPRESIDENT AND CEO3010005

Disclosures

Regulatory Event10
Arbitration1

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.

Company Information

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

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