Peter M. Cashin
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.
Peter M Cashin, who also goes by Peter M Cashin, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 55, Series 25, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2015 - February 29, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 30, 2015 - February 29, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 25, 2013 - October 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2012 - October 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 2009 - August 21, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 20, 2007 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2007 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2004 - September 25, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 1999 - September 25, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1997 - March 15, 1999
BANC OF AMERICA SECURITIES LLC
February 12, 1997 - October 1, 1997
MONTGOMERY SECURITIES
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/26/2002
Limited Representative-Equity Trader ExamSeries 25
Date: 8/17/1999
NYSE Trading Assistant 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.
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