Lorna A. Hern
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.
Lorna A Hern, who also goes by Lorna Ann Hern, Lorna Hern, Larna Hern Sivori, Lorna Hern Sivori, Lorna Hern Sivori, was a registered financial professional .
Lorna is a previously registered financial professional and started their career in finance in 1989. Lorna had worked at 14 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 53 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
August 15, 2017 - January 6, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 23, 2017 - June 19, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 1, 2016 - October 27, 2016
CAPFINANCIAL SECURITIES, LLC.
November 3, 2014 - January 20, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 20, 2014 - October 20, 2014
OSAIC SERVICES, INC.
April 29, 2008 - April 1, 2009
IRONSTONE SECURITIES, INC.
April 29, 2008 - April 14, 2014
FIRST CITIZENS INVESTOR SERVICES, INC.
May 8, 2006 - April 15, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 7, 2006 - May 15, 2006
CHARLES SCHWAB & CO., INC.
August 26, 2002 - September 28, 2005
CHARTER ONE SECURITIES, INC.
September 3, 1999 - October 29, 2002
KEYBANC CAPITAL MARKETS INC.
September 19, 1996 - September 3, 1999
KEY CLEARING CORP.
March 3, 1995 - August 26, 1996
KEY INVESTMENTS INC.
June 22, 1990 - March 3, 1995
SOCIETY INVESTMENTS, INC.
February 14, 1989 - February 13, 1990
IDS LIFE INSURANCE COMPANY
February 14, 1989 - February 13, 1990
AMERIPRISE FINANCIAL SERVICES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional 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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