Scott Joseph
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.
Scott Joseph, who also goes by Scott Alan Joseph, Scott Joseph, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2014 - August 23, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 13, 2014 - August 23, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 10, 2010 - January 28, 2014
CHARLES SCHWAB & CO., INC.
December 10, 2010 - January 28, 2014
CHARLES SCHWAB & CO., INC.
January 5, 2010 - November 24, 2010
PEOPLE'S SECURITIES, INC.
January 5, 2010 - November 24, 2010
PEOPLE'S SECURITIES, INC.
August 11, 2009 - October 21, 2009
MML INVESTORS SERVICES, LLC
August 11, 2009 - October 21, 2009
MML INVESTORS SERVICES, LLC
March 31, 2008 - May 26, 2009
STRATEGIC ADVISERS LLC
February 20, 2008 - May 26, 2009
FIDELITY BROKERAGE SERVICES LLC
August 24, 2007 - November 13, 2007
ALLSTATE FINANCIAL SERVICES, LLC
July 6, 2000 - March 12, 2007
STRATEGIC ADVISERS LLC
June 9, 2000 - March 12, 2007
FIDELITY BROKERAGE SERVICES LLC
February 1, 1999 - June 5, 2000
AETNA FINANCIAL SERVICES, INC.
March 31, 1998 - June 2, 2000
VOYA FINANCIAL PARTNERS, LLC
March 4, 1997 - March 12, 1998
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
December 9, 1996 - March 5, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
January 11, 1996 - October 22, 1996
IFMG SECURITIES, INC.
August 5, 1994 - January 11, 1996
CONSECO SECURITIES, INC.
July 20, 1992 - July 29, 1994
IDS LIFE INSURANCE COMPANY
July 20, 1992 - July 29, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
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.
