Philip H. Heller
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.
Philip Henri Heller, who also goes by Phil Heller Jr, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1990. Philip had worked at 13 firms and has passed the Series 63, Series 7 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
May 17, 2011 - December 31, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 2, 2008 - May 1, 2009
WESBANCO SECURITIES, INC.
January 3, 2007 - December 1, 2008
ESSEX NATIONAL SECURITIES, LLC
September 26, 2006 - November 3, 2006
LPL FINANCIAL LLC
September 1, 2006 - November 3, 2006
LPL FINANCIAL LLC
March 7, 2006 - June 12, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
August 17, 2005 - February 21, 2006
PFIC SECURITIES CORPORATION
February 13, 2003 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
January 6, 2003 - February 12, 2003
MONEY CONCEPTS CAPITAL CORP
October 3, 2000 - December 31, 2002
MONEY CONCEPTS CAPITAL CORP
December 17, 1999 - June 5, 2000
KEYBANC CAPITAL MARKETS INC.
May 14, 1999 - December 17, 1999
KEY CLEARING CORP.
January 1, 1999 - May 14, 1999
KEY INVESTMENTS INC.
September 15, 1998 - December 9, 1998
MUTUAL SERVICE CORPORATION
December 12, 1990 - August 26, 1994
THRIVENT INVESTMENT MANAGEMENT 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.
