Van L. Berry
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.
Van L Berry, who also goes by Van Le Berry, was a registered financial professional .
Van is a previously registered financial professional and started their career in finance in 1994. Van had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24 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
July 28, 2021 - March 2, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 18, 2019 - January 13, 2020
CHARLES SCHWAB & CO., INC.
February 25, 2016 - January 31, 2017
MML INVESTORS SERVICES, LLC
June 19, 2014 - May 5, 2015
WOODBURY FINANCIAL SERVICES, INC.
June 24, 2011 - May 5, 2015
OSAIC WEALTH, INC.
June 24, 2011 - May 5, 2015
FSC SECURITIES CORPORATION
June 17, 2011 - May 5, 2015
OSAIC SERVICES, INC.
July 14, 2006 - May 20, 2009
EDWARD JONES
March 7, 2005 - September 14, 2005
GOLDMAN SACHS & CO. LLC
February 11, 2003 - February 10, 2005
HARRISDIRECT LLC
June 27, 1995 - July 5, 2001
CHARLES SCHWAB & CO., INC.
February 4, 1994 - May 2, 1995
FIDELITY BROKERAGE SERVICES LLC
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: 8/26/1997
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.
