Sonianne Brathwaite
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.
Sonianne Brathwaite, who also goes by Soni Brathwaite, Sonianne Yvette Brathwaite, Sonianne Brathwaite, Soni Brathwaite, was a registered financial professional .
Sonianne is a previously registered financial professional and started their career in finance in 1999. Sonianne had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2015 - August 12, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 15, 2015 - August 12, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 18, 2015 - August 14, 2015
MB TRADING
December 22, 2011 - February 12, 2015
RAYMOND JAMES & ASSOCIATES, INC.
December 21, 2011 - February 12, 2015
RAYMOND JAMES & ASSOCIATES, INC.
October 13, 2011 - December 8, 2011
WADDELL & REED
October 13, 2011 - December 8, 2011
WADDELL & REED
June 1, 2009 - October 14, 2010
MORGAN STANLEY
June 1, 2009 - October 14, 2010
MORGAN STANLEY
May 7, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 5, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 28, 2005 - June 20, 2007
WELLS FARGO INVESTMENTS, LLC
September 28, 2005 - June 20, 2007
WELLS FARGO INVESTMENTS, LLC
May 26, 2005 - September 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2005 - September 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2004 - June 6, 2005
CITIGROUP GLOBAL MARKETS INC.
April 2, 2004 - June 6, 2005
CITIGROUP GLOBAL MARKETS INC.
June 7, 2002 - April 19, 2004
WELLS FARGO INVESTMENTS, LLC
November 6, 2001 - April 19, 2004
WELLS FARGO INVESTMENTS, LLC
September 22, 1999 - July 3, 2001
METLIFE INVESTORS DISTRIBUTION COMPANY
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.
