Carol A. Macaux-roen
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.
Carol A Macaux-roen, who also goes by Carol Ann Macaux, Carol Ann Macaux-roen, Carol Ann Macauxroen, Carol A Roen, Carol Ann Roen, Carol A Roen, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2000. Carol had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2021 - May 24, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 7, 2021 - May 24, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 29, 2021 - March 3, 2021
WEALTHSPIRE ADVISORS
May 21, 2020 - November 6, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
May 21, 2020 - November 6, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
January 30, 2017 - September 23, 2019
EQUITABLE ADVISORS, LLC
January 30, 2017 - September 23, 2019
EQUITABLE ADVISORS, LLC
December 15, 2015 - October 24, 2016
LPL FINANCIAL LLC
December 15, 2015 - October 24, 2016
LPL FINANCIAL LLC
April 23, 2013 - May 22, 2014
LPL FINANCIAL LLC
February 1, 2013 - May 22, 2014
LPL FINANCIAL LLC
April 29, 2011 - January 4, 2012
SECURIAN FINANCIAL SERVICES, INC.
October 17, 2008 - May 22, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 5, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 5, 2004 - February 29, 2008
MSI FINANCIAL SERVICES, INC.
March 2, 2004 - October 4, 2004
PACKERLAND BROKERAGE SERVICES, INC.
March 3, 2000 - March 14, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 2, 2000 - January 1, 2002
ROBERT W. BAIRD & CO. 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
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.
