Peter L. Alexander
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.
Peter Lawrence Alexander, CFP®, who also goes by Peter L Alexander, Peter Lawrence Alexander, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1993. Peter had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2002
Experience
May 24, 2017 - January 15, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 10, 2016 - December 12, 2016
SCOTTRADE INVESTMENT MANAGEMENT
March 19, 2014 - December 12, 2016
SCOTTRADE, INC.
November 16, 2013 - February 4, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
September 20, 2011 - February 4, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 18, 2007 - June 4, 2010
M&I FINANCIAL ADVISORS, INC
November 29, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 29, 2005 - October 19, 2007
MSI FINANCIAL SERVICES, INC.
June 5, 1998 - December 31, 2005
CITISTREET EQUITIES LLC
February 4, 1998 - June 11, 1998
BESTVEST INVESTMENTS, LTD.
October 17, 1996 - January 8, 1997
U.S. BANCORP INVESTMENTS, INC.
February 6, 1996 - October 10, 1996
FFP SECURITIES, INC.
March 21, 1995 - February 6, 1996
PIM FINANCIAL SERVICES, INC.
July 23, 1993 - March 22, 1995
TITAN/VALUE EQUITIES GROUP, 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.
