Terrence S. Laster
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.
Terrence Sedric Laster SR was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1989. Terrence had worked at 12 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - January 27, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 18, 2013 - January 27, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 26, 2008 - October 2, 2008
SOUTHEAST INVESTMENTS, N.C., INC.
August 24, 2007 - January 24, 2008
VOYA FINANCIAL PARTNERS, LLC
August 22, 2007 - January 24, 2008
VOYA FINANCIAL PARTNERS, LLC
February 23, 2007 - July 20, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
February 15, 2007 - July 20, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
May 13, 2004 - May 5, 2006
VALIC FINANCIAL ADVISORS, INC.
February 17, 2004 - May 5, 2006
VALIC FINANCIAL ADVISORS, INC.
August 13, 2002 - March 1, 2004
BROKER DEALER FINANCIAL SERVICES CORP.
October 10, 2001 - June 28, 2002
ALLSTATE FINANCIAL SERVICES, LLC
March 1, 1996 - November 27, 2001
INTERCAROLINA FINANCIAL SERVICES, INC.
February 22, 1993 - April 24, 1995
IDS LIFE INSURANCE COMPANY
February 22, 1993 - April 24, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
June 6, 1991 - September 16, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 1990 - September 21, 1990
THE STUART-JAMES COMPANY, INCORPORATED
March 21, 1989 - May 21, 1990
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.
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