Robert V. Tango
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.
Robert V Tango Jr, who also goes by Robert VIctor Tango Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2019 - February 28, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 30, 2012 - May 27, 2015
GILFORD SECURITIES INCORPORATED
March 1, 2011 - April 20, 2012
CRAIG-HALLUM CAPITAL GROUP LLC
January 28, 2009 - April 6, 2009
FIRST NEW YORK SECURITIES L.L.C.
August 4, 2008 - October 27, 2008
ABERDEEN FUND DISTRIBUTORS, LLC
October 17, 2007 - August 6, 2008
FORESIDE FUND SERVICES, LLC
March 9, 2007 - October 2, 2007
NATIONWIDE FUND DISTRIBUTORS LLC
May 6, 2005 - November 21, 2005
FM PARTNERS HOLDINGS LLC
June 16, 2004 - May 10, 2005
LAZARD FRERES & CO. LLC
July 31, 2000 - May 27, 2004
WILLIAM BLAIR
May 25, 1999 - June 14, 2000
TRUIST SECURITIES, INC.
May 3, 1999 - May 1, 1999
CLEARY GULL INC.
December 23, 1997 - May 3, 1999
TUCKER ANTHONY INCORPORATED
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 55
Date: 2/19/2009
Limited Representative-Equity Trader ExamCurrent 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.
