Marie Therese E. Retourne
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.
Marie Therese Edde Retourne, who also goes by Marie Edde Retourne, Marie Retourne, Marie-therese Edde Retourne, Marietherese Edde Retourne, was a registered financial professional .
Marie Therese is a previously registered financial professional and started their career in finance in 1995. Marie Therese had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2013 - June 18, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 18, 2013 - June 18, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 1, 2009 - August 5, 2013
MORGAN STANLEY
June 1, 2009 - August 5, 2013
MORGAN STANLEY
December 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 11, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 1, 2004 - December 24, 2008
UBS FINANCIAL SERVICES INC.
June 4, 2004 - December 24, 2008
UBS FINANCIAL SERVICES INC.
December 29, 1999 - June 7, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - June 7, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 14, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 17, 1995 - October 2, 1997
IDS LIFE INSURANCE COMPANY
May 17, 1995 - October 2, 1997
AMERIPRISE FINANCIAL 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
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.
