Laura M. Flynn
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.
Laura Marie Flynn, who also goes by Laura Marie Daddario, Laura Marie Daddario, Laura Marie Flynn, Laura Flynn-glover, Laura Marie Flynn-glover, Laura Flynn Glover, Laura Flynn Glover, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2009. Laura had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2019 - October 5, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 13, 2018 - September 5, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - January 26, 2018
MML INVESTORS SERVICES, LLC
February 23, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
November 4, 2015 - February 24, 2017
PRUCO SECURITIES, LLC.
January 2, 2015 - October 20, 2015
MSI FINANCIAL SERVICES, INC.
October 14, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
April 2, 2012 - September 10, 2013
INVESTORS CAPITAL CORP.
November 18, 2009 - August 19, 2010
ESSEX SECURITIES LLC
May 25, 2009 - November 2, 2009
MSI FINANCIAL SERVICES, 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.
