Tiffany H. Monasterio
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.
Tiffany Helene Monasterio, who also goes by Tiffany Helene Monasterio, Tiffany Monasterio, Tiffany H Smith, Tiffany Helene Smith, Tiffany Smith, was a registered financial professional .
Tiffany is a previously registered financial professional and started their career in finance in 1999. Tiffany had worked at 7 firms and has passed the Series 63, SIE 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
January 5, 2016 - August 6, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 4, 2004 - October 8, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 1, 2003 - November 9, 2004
WALNUT STREET SECURITIES, INC.
July 29, 2003 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 29, 2002 - December 17, 2002
RYAN BECK & CO.
October 26, 2000 - May 13, 2002
GRUNTAL & CO., L.L.C.
April 22, 1999 - October 9, 2000
FORESTERS FINANCIAL SERVICES, 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.
