Colin R. Mckenna
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.
Colin R Mckenna, who also goes by Colin R Mckenna, Colin Ralph Mckenna, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1987. Colin had worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2020 - February 9, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 21, 2020 - February 9, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 30, 2002 - September 8, 2020
EQUITABLE ADVISORS, LLC
February 25, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 25, 1997 - September 8, 2020
EQUITABLE ADVISORS, LLC
February 20, 1997 - March 14, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 20, 1997 - March 14, 1997
EQUITABLE ADVISORS, LLC
October 22, 1988 - February 19, 1997
ROBERT W. BAIRD & CO. INCORPORATED
October 22, 1988 - February 19, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 5, 1987 - August 9, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 5, 1987 - August 9, 1988
EQUITABLE ADVISORS, 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
Series 6TO
Date: 7/6/2022
Investment Company Products/Variable Contracts 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
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.
