Katherine M. Jarozewski
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.
Katherine Mary Jarozewski, who also goes by Katherine Mary Bergman, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1997. Katherine had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
November 25, 2009 - April 19, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 13, 2009 - July 22, 2009
SECURITIES AMERICA, INC.
November 2, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 2, 2006 - February 19, 2008
MSI FINANCIAL SERVICES, INC.
October 11, 2004 - January 5, 2006
METROPOLITAN LIFE INSURANCE COMPANY
October 11, 2004 - January 5, 2006
MSI FINANCIAL SERVICES, INC.
March 24, 2003 - September 8, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 7, 2000 - May 4, 2001
TERRA NOVA FINANCIAL, LLC
May 4, 1998 - October 7, 1999
HULL TRANSACTION SERVICES, L.L.C.
July 3, 1997 - February 19, 1998
GVR COMPANY
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 55
Date: 12/1/1998
Limited Representative-Equity Trader ExamCurrent 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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