Glenn A. Phillips
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.
Glenn Alan Phillips, AIF®, who also goes by Glenn A Phillips, was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1994. Glenn had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2022 - December 21, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 8, 2021 - November 2, 2022
MUTUAL OF AMERICA SECURITIES LLC
January 17, 2014 - December 3, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 4, 2013 - December 3, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 11, 2008 - December 18, 2012
GLOBAL PORTFOLIO STRATEGIES, INC.
September 11, 2008 - December 18, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 3, 2007 - July 1, 2008
KESTRA INVESTMENT SERVICES, LLC
June 22, 2006 - December 31, 2006
GBS RETIREMENT SERVICES, INC.
September 14, 2005 - May 26, 2006
CITIGROUP GLOBAL MARKETS INC.
May 3, 2005 - August 12, 2005
ALLSTATE FINANCIAL SERVICES, LLC
March 16, 1998 - April 1, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 25, 1996 - August 22, 1997
TD AMERITRADE, INC.
May 24, 1994 - October 3, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 24, 1994 - October 3, 1994
EQUITABLE ADVISORS, 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.
