John Towle
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.
John Towle, who also goes by John Alexander Towle, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, Series 7TO, SIE, Series 7, Series 6 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
January 13, 2021 - March 12, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 9, 2017 - January 11, 2019
CANTOR FITZGERALD & CO.
April 7, 2016 - January 10, 2017
WALTON RE SECURITIES, LLC
June 22, 2015 - October 1, 2015
FORGE SECURITIES LLC
October 12, 2012 - August 13, 2013
FS INVESTMENT SOLUTIONS, LLC
January 9, 2012 - January 12, 2012
RESOURCE SECURITIES LLC
December 3, 2008 - September 15, 2011
CCO CAPITAL, LLC
June 10, 2008 - September 11, 2008
VOYA INVESTMENT MANAGEMENT CO. LLC
November 26, 2003 - September 11, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 29, 1996 - June 17, 2003
FIDELITY BROKERAGE SERVICES LLC
November 14, 1994 - December 31, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
April 13, 1992 - October 21, 1994
FIDELITY BROKERAGE SERVICES LLC
January 31, 1991 - September 3, 1991
DEAM INVESTOR 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
