Loren W. Morris
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.
Loren W Morris, who also goes by Loren W Morris Mr., was a registered financial professional .
Loren is a previously registered financial professional and started their career in finance in 1999. Loren had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2021 - April 27, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 8, 2018 - March 26, 2020
CETERA ADVISORS LLC
April 2, 2014 - January 3, 2017
PURSHE KAPLAN STERLING INVESTMENTS
March 21, 2013 - June 14, 2013
DYNASTY SECURITIES, LLC
June 29, 2011 - December 31, 2012
PURSHE KAPLAN STERLING INVESTMENTS
March 4, 2008 - April 25, 2011
CHARLES SCHWAB & CO., INC.
August 20, 2003 - February 16, 2007
SARATOGA CAPITAL MARKETS
December 8, 1999 - March 21, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH 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.
