Cheryl L. Ayres
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.
Cheryl Lynn Ayres, who also goes by Cheryl Lynn Ayres, Cheryl Lynn Heil, Cheryl Lynn Heil, Cheryl Lynn Robinson, Cheryl Lynn Robinson, Cheryl Lynn Schmolke, Cheryl Lynn Sobtzak, Cheryl Lynn Schmolke, Cheryl Lynn Sobtzak, Cheryl Lynn Walker, Cheryl Lynn Walker, was a registered financial professional .
Cheryl is a previously registered financial professional and started their career in finance in 2000. Cheryl had worked at 5 firms and has passed the Series 63, 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
May 23, 2016 - December 5, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 17, 2009 - July 17, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 12, 2009 - June 16, 2009
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
December 18, 2007 - September 25, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 27, 2007 - October 25, 2007
STATE FARM VP MANAGEMENT CORP.
February 27, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
October 11, 2000 - May 23, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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.
