Jay J. Schmidt

CRD#: 2397502

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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.

Jay John Schmidt was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 2000. Jay had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 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

January 10, 2011 - July 23, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Milwaukee, WI

Past

August 12, 2005 - May 21, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Milwaukee, WI

Past

May 4, 2005 - July 27, 2005

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

April 2, 2003 - April 28, 2005

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

Past

July 26, 2000 - April 3, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

May 19, 2000 - June 21, 2000

SIMMERS CAPITAL MANAGEMENT CORPORATION

CRD#: 29960

PHOENIX, AZ

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 66

Date: 1/7/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/27/2002

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: 2/19/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/18/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/29/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/21/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2001

General 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)

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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.

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Advisor Monitoring

Firm Stability Insights

Jay J. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

STRONG INVESTMENTS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

SIMMERS CAPITAL MANAGEMENT CORPORATION

Primary Firm SEC Registration

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/7/2011

Series 63

Date: 3/27/2002

SIE

Date: 10/1/2018

Series 7

Date: 2/19/2001

Series 6

Date: 5/18/2000

Series 10

Date: 6/29/2006

Series 9

Date: 4/21/2006

Series 24

Date: 11/19/2001

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

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