Todd B. Mccartney
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.
Todd Brandt Mccartney was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1987. Todd had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
April 9, 2018 - June 21, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 9, 2016 - November 9, 2017
ADVISORS ASSET MANAGEMENT, INC.
March 9, 2016 - November 9, 2017
ADVISORS ASSET MANAGEMENT, INC.
August 28, 2014 - May 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 28, 2014 - May 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2012 - August 29, 2014
EDWARD JONES
November 12, 2012 - August 29, 2014
EDWARD JONES
May 9, 2011 - October 25, 2012
WILLIAM BLAIR
May 9, 2011 - October 25, 2012
WILLIAM BLAIR
March 29, 2011 - April 12, 2011
LORD, ABBETT & CO. LLC
March 29, 2011 - April 12, 2011
LORD ABBETT DISTRIBUTOR LLC
December 23, 2010 - March 17, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 7, 2010 - February 24, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 24, 2010 - December 8, 2010
FISHER INVESTMENTS
December 8, 2000 - May 27, 2010
GOLDMAN SACHS & CO. LLC
November 3, 2000 - December 14, 2000
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
June 25, 1994 - October 2, 2000
LORD ABBETT DISTRIBUTOR LLC
April 26, 1993 - May 13, 1994
BANC ONE CAPITAL MARKETS, INC.
April 25, 1990 - March 25, 1993
FIRSTAR INVESTMENT SERVICES,INC.
April 29, 1987 - August 15, 1988
CLAYTON BROWN & ASSOCIATES, 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.
