Jenny J. Charles

Some features on this profile are disabled

CRD#: 2350604

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.

Jenny Jo Charles was a registered financial professional .

Jenny is a previously registered financial professional and started their career in finance in 1993. Jenny had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 28, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 22, 2013 - February 4, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

JACKSON, WY

Past

March 21, 2013 - February 4, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

JACKSON, WY

Past

March 10, 2006 - April 19, 2011

WINTRUST INVESTMENTS LLC

RIA

CRD#: 875

CHICAGO, IL

Past

March 10, 2006 - April 19, 2011

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

November 16, 2001 - December 31, 2009

GREAT LAKES ADVISORS, LLC

RIA

CRD#: 110757

CHICAGO , IL

Past

May 9, 1995 - December 18, 2006

FOCUSED INVESTMENTS L.L.C.

CRD#: 37532

CHICAGO, IL

Past

February 13, 1995 - July 31, 2000

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

September 29, 1993 - February 9, 1995

PROVALUE INVESTMENTS, INC.

CRD#: 27177

Past

September 29, 1993 - February 9, 1995

HAMILTON INVESTMENTS, INC.

CRD#: 821

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA

Registered Investment Advisory firm - SEC (12/10/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 5/27/2008

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/25/1994

Municipal Securities Principal Examination

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA

Registered Investment Advisory firm - SEC (12/10/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797

Mailing Address

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797

Phone number

(414) 271-1444

Established

Wisconsin since 06/10/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

2,577

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NMIS DISCLOSURE BROCHURE 3.31.2025 (3/31/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jenny J. Charles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

WINTRUST INVESTMENTS LLC

WINTRUST INVESTMENTS LLC

GREAT LAKES ADVISORS, LLC

FOCUSED INVESTMENTS L.L.C.

WINTRUST INVESTMENTS LLC

PROVALUE INVESTMENTS, INC.

HAMILTON INVESTMENTS, INC.

Primary Firm SEC Registration

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1999

Series 63

Date: 7/22/1993

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1993

Series 28

Date: 5/27/2008

Series 24

Date: 2/16/2000

Series 53

Date: 10/25/1994

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors