RS
Robert P. Sarnecki
Some features on this profile are disabled
CRD#: 2085496
RS
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.
Robert Philip Sarnecki, who also goes by R Philip, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 2 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
R Philip
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. MAY. EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. 2. 50% OWNER, RPS PROPERTIES, LLC, ST. JOSEPH, IL, INVESTMENT REAL ESTATE, PASSIVE INVESTOR, STD 10/15/05, NO HOURS, NO DUTIES. 3. BOARD OF ADVISORS: ATHLETES IN ACTION, XENIA, OHIO; START DATE: 9/1/2008; NON INVESTMENT-RELATED 4. 100% OWNER OF FORMER PERSONAL RESIDENCE, AND RECEIVES RENTAL INCOME; START DATE: 4/22/2009; INVESTMENT-RELATED 5. RPS FINANCIAL GROUP, INC., INVESTMENT RELATED, OWNER. 6. 100% OWNER, RPS BENEFITS, INC., 5251 W 116TH PL STE 300, LEAWOOD, , KANSAS, 66211, UNITED STATES OF AMERICA, OTHER NAME, START DATE: 1/1/2005, HOURS PER MONTH: 6-20, 100% OWNER OF SEBS ORGANIZATION; INVESTMENT-RELATED 7. 30% OWNER OF REBEL PILGRIM PRODUCTIONS, LLC. 2850 S. JONES BLVD, LAS VEGAS, NV. MAY ATTEND ANNUAL MEETINGS AND RECEIVE UPDATES. NOT INVESTMENT RELATED, 1 HOUR/MO, START DATE MAY, 2012. 8. HOPE BRIDGE LLC, CINCINNATI, OH, 10% OWNER/EXECUTIVE PRODUCER, MOVIE PRODUCTION, 1 HR/MO, NON-INVESTMENT RELATED, START 6/2013 9. BACK-UP CHECK SIGNER, CHRISTIAN FELLOWSHIP BREAKFAST, FIDUCIARY CAPACITY, START DATE: 07/10/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BACK-UP CHECK SIGNER (ONE OF SEVERAL); NON INVESTMENT-RELATED 10. SIGN CHECKS, CHRISTIAN FELLOWSHIP COMMUNITY, FIDUCIARY CAPACITY, START DATE: 8/24/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ONE OF 4 CHECK SIGNERS; NON INVESTMENT-RELATED 11. BUSINESS OWNERSHIP/SELF EMPLOYED OTHER NON-FINANCIAL SERVICES BUSINESS, 6800 COLLEGE BLVD, OVERLAND PARK, , KANSAS, 66211, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 06/06/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CEO--STRATEGIC PLANNING. 12. 25% OWNER, 513 FILMS, 18240 MELROSE DR, BUCYRUS, , KANSAS, 66013, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 10/26/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, RELATED TO MOVIE BUSINESS (REBEL PILGRIM PRODUCTIONS). NON INVESTMENT-RELATED. 13. 100% OWNER, RPS CMW, LLC, FIELD MANAGEMENT ENTITY RECEIVING WMC-RELATED OVERRIDES, START DATE: 09/23/2019, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20; INVESTMENT RELATED 14. 100% OWNER, RPS CAPITAL, LLC, 18240 MELROSE DR, BUCYRUS, , KANSAS, 66013, UNITED STATES OF AMERICA, LEGAL ENTITY, START DATE: 12/16/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CHAIRMAN/CEO; NON INVESTMENT-RELATED 15. 50% OWNER, THE LC GROUP, LLC; TRAINING COACHING AND/OR TRAINING, 708 WALNUT ST UNIT 750, CINCINNATI, , OHIO, 45202, UNITED STATES OF AMERICA, NON-BUSINESS RELATED, START DATE: 6/29/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CHAIRMAN OF BOARD/OWNER; NON INVESTMENT-RELATED 16. 50% OWNER, RPS AUTO, LLC, 18240 MELROSE DR, BUCYRUS, , KANSAS, 66013, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 6/29/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON-INVESTMENT RELATED 17. 50% OWNER, RPS AIR, LLC, 10 NW RICHARDS RD, KANSAS CITY, , MISSOURI, 64116, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 6/29/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON-INVESTMENT RELATED
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 13, 2005 - September 4, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
LEAWOOD, KS
Past
February 12, 1993 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
February 12, 1993 - September 4, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LEAWOOD, KS
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.
CRD#: 2881 / SEC#: 801-8095, 8-14088
RIA
Registered Investment Advisory firm - SEC (12/10/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 11/5/1996
NYSE Branch Manager ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.
CRD#: 2881 / SEC#: 801-8095, 8-14088
RIA
Registered Investment Advisory firm - SEC (12/10/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
Mailing Address
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
Phone number
(414) 271-1444
Established
Wisconsin since 06/10/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,577
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.
