Jerry A. Cunningham
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.
Jerry Ann Cunningham, who also goes by Jerry A Cunningham, Jerry Ann Cunningham, Jac Cunningham, Jerry Cunningham, Jerry Ann Sherwani, Jerry A Sherwani, Jerry Ann Sherwani, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1996. Jerry had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2021 - December 31, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 27, 2021 - December 31, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 3, 2019 - November 23, 2020
HIGHTOWER ADVISORS, LLC
September 11, 2018 - September 28, 2020
HIGHTOWER SECURITIES, LLC
August 11, 2017 - December 31, 2018
HIGHTOWER PRIVATE CLIENT
July 15, 2011 - September 7, 2018
SALIENT CAPITAL L.P.
March 2, 2011 - September 7, 2018
SALIENT CAPITAL ADVISORS, LLC
June 17, 2010 - November 24, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 1, 2010 - November 24, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 14, 2009 - November 24, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 11, 2009 - November 24, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
March 7, 2006 - December 31, 2007
NEXT FINANCIAL GROUP, INC.
March 7, 2006 - April 23, 2009
NEXT FINANCIAL GROUP, INC.
May 30, 2003 - March 8, 2006
INVEST FINANCIAL CORPORATION
October 1, 2002 - March 8, 2006
INVEST FINANCIAL CORPORATION
November 19, 1998 - October 2, 2002
ADVANTAGE CAPITAL CORPORATION
June 17, 1996 - November 10, 1998
CIBC WORLD MARKETS CORP.
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.
