Michael E. Geary
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.
Michael Eric Geary was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 11 firms and has passed the 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
January 14, 2020 - March 20, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 10, 2020 - March 20, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 30, 2018 - August 22, 2019
MML INVESTORS SERVICES, LLC
November 22, 2017 - August 22, 2019
MML INVESTORS SERVICES, LLC
June 28, 2012 - September 26, 2017
HORNOR, TOWNSEND & KENT, LLC
March 28, 2008 - March 4, 2013
PARK AVENUE SECURITIES LLC
April 8, 2003 - February 25, 2008
MML INVESTORS SERVICES, LLC
March 21, 2000 - March 13, 2003
SIGNATOR INVESTORS, INC.
January 26, 1998 - March 13, 2003
SIGNATOR INVESTORS, INC.
May 21, 1991 - July 24, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 21, 1991 - July 24, 1996
SIGNATOR INVESTORS, INC.
March 26, 1990 - January 28, 1991
IDS LIFE INSURANCE COMPANY
March 26, 1990 - January 28, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 1989 - January 24, 1990
U.S. ADVISORS, INC.
September 7, 1988 - January 18, 1989
GRAYSTONE NASH, INC.
April 20, 1988 - July 29, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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.
