Martin P. Ryan
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.
Martin Patrick James Ryan, who also goes by Martin Patrickjames Ryan, Martin Pj Ryan, Martin Ryan, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1997. Martin had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2019 - July 19, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 22, 2019 - July 19, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 1, 2017 - June 30, 2017
HORNOR, TOWNSEND & KENT, LLC
April 17, 2017 - June 30, 2017
HORNOR, TOWNSEND & KENT, LLC
July 14, 2016 - August 11, 2016
PRUCO SECURITIES, LLC.
March 7, 2016 - July 1, 2016
DAVID LERNER ASSOCIATES, INC.
January 6, 2015 - May 8, 2015
PARK AVENUE SECURITIES LLC
November 13, 2014 - May 8, 2015
PARK AVENUE SECURITIES LLC
September 10, 2013 - September 25, 2013
NATIONAL SECURITIES CORPORATION
March 28, 2013 - August 29, 2013
WTS PROPRIETARY TRADING GROUP LLC
June 5, 2012 - October 18, 2012
PRINCIPAL SECURITIES, INC.
July 11, 2002 - August 7, 2002
NEXTRADE
January 28, 2002 - May 23, 2002
WORLDCO, L.L.C.
December 20, 1999 - November 15, 2000
GROSSMAN & CO., LLC.
November 17, 1997 - March 12, 1998
AMERIPRISE ADVISOR SERVICES, INC.
August 26, 1997 - September 17, 1997
FAIRCHILD FINANCIAL GROUP, INC.
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: 2/6/2002
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.
