Matthew J. Flynn
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.
Matthew Jerome Flynn was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1996. Matthew had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2013 - December 19, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 25, 2013 - December 19, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 31, 2011 - November 23, 2011
WEALTHFRONT ADVISERS LLC
October 31, 2011 - November 23, 2011
WEALTHFRONT BROKERAGE LLC
January 16, 2008 - January 20, 2010
EMPOWER FINANCIAL SERVICES, INC.
October 21, 2004 - January 2, 2008
PRINCIPAL SECURITIES, INC.
May 12, 2004 - January 2, 2008
PRINCIPAL SECURITIES, INC.
March 5, 2003 - January 14, 2004
QUEST CAPITAL STRATEGIES, INC.
June 25, 1996 - January 29, 2001
CHARLES SCHWAB & CO., 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 8
Date: 2/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
