Monica M. Liska
Professional summary
Monica Marie Liska was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Monica Marie Liska, who also goes by Monica Christenson, Monica Marie Seipel, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1992. Monica had worked at 7 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
June 26, 2009 - December 31, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 9, 2006 - May 19, 2009
INVESTMENT CENTERS OF AMERICA, INC.
May 6, 2004 - February 13, 2006
WELLS FARGO INVESTMENTS, LLC
July 9, 1996 - May 6, 2004
INVESTMENT CENTERS OF AMERICA, INC.
December 19, 1995 - December 20, 1995
BROOKSTREET SECURITIES CORPORATION
July 26, 1995 - June 27, 1996
MARQUETTE FINANCIAL GROUP, INC.
May 19, 1994 - December 13, 1994
MML INVESTORS SERVICES, LLC
November 22, 1992 - December 21, 1993
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
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