Timothy J. Schultz
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.
Timothy J Schultz, who also goes by Tim John Schultz, Tim Schultz, Timmy John Schultz, Timothy John Schultz, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2005. Timothy had worked at 10 firms and has passed the Series 66, SIE 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
January 23, 2015 - April 5, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 22, 2015 - April 5, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 25, 2013 - February 25, 2014
HALEN CAPITAL
June 7, 2013 - January 16, 2015
WHITFORD ADVISORY SERVICES, LLC
December 6, 2012 - May 3, 2013
CUSO FINANCIAL SERVICES, L.P.
December 6, 2012 - May 3, 2013
CUSO FINANCIAL SERVICES, L.P.
September 4, 2012 - November 6, 2012
SORRENTO PACIFIC FINANCIAL, LLC
September 4, 2012 - November 6, 2012
SORRENTO PACIFIC FINANCIAL, LLC
May 19, 2011 - September 6, 2012
HARRISDIRECT LLC
May 19, 2011 - September 6, 2012
E*TRADE SECURITIES LLC
October 28, 2010 - March 29, 2011
NATIONWIDE SECURITIES, LLC
September 29, 2010 - March 29, 2011
NATIONWIDE SECURITIES, LLC
July 11, 2007 - September 29, 2010
SEI INVESTMENTS DISTRIBUTION CO.
January 13, 2005 - June 27, 2007
A. G. EDWARDS & SONS, 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
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.
