Darlene Kaska
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.
Darlene Kaska, who also goes by Darlene A Kaska, Darlene Agnes Kaska, was a registered financial professional .
Darlene is a previously registered financial professional and started their career in finance in 1996. Darlene had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 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
November 12, 2019 - March 4, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 31, 2019 - March 4, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 30, 2017 - May 1, 2018
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
November 29, 2012 - May 1, 2018
AMERICAN CENTURY INVESTMENT SERVICES INC.
June 21, 2012 - October 12, 2012
WADDELL & REED
June 24, 2011 - June 18, 2012
AMERICAN CENTURY BROKERAGE, INC.
March 31, 2011 - June 18, 2012
AMERICAN CENTURY INVESTMENT SERVICES INC.
June 2, 2010 - August 24, 2010
WELLS FARGO INVESTMENTS, LLC
February 14, 2007 - May 13, 2010
D.A. DAVIDSON & CO.
August 3, 2005 - April 6, 2006
EMPOWER FINANCIAL SERVICES, INC.
June 25, 1996 - November 3, 1997
AMERICAN CENTURY INVESTMENT 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
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.
