Drew E. Thompson
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.
Drew E Thompson, CFP®, who also goes by Drew Elliott Thompson, Drew Thompson, was a registered financial professional .
Drew is a previously registered financial professional and started their career in finance in 2002. Drew had worked at 8 firms and has passed the Series 66, 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
September 12, 2016 - November 18, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 9, 2016 - November 18, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 5, 2014 - August 18, 2016
VALIC FINANCIAL ADVISORS, INC.
April 29, 2014 - August 18, 2016
VALIC FINANCIAL ADVISORS, INC.
November 10, 2010 - May 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2010 - May 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2008 - December 1, 2008
OSAIC FS, INC.
November 22, 2006 - December 31, 2007
CINCINNATI ANALYSTS, INC.
July 25, 2005 - December 31, 2007
CINCINNATI ANALYSTS, INC.
April 30, 2004 - November 26, 2004
INVEST FINANCIAL CORPORATION
April 14, 2004 - November 26, 2004
INVEST FINANCIAL CORPORATION
July 23, 2003 - April 15, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
July 11, 2003 - April 15, 2004
IDS LIFE INSURANCE COMPANY
July 11, 2003 - April 15, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
November 15, 2002 - May 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
October 23, 2002 - May 21, 2003
IDS LIFE INSURANCE COMPANY
October 23, 2002 - May 21, 2003
AMERIPRISE FINANCIAL 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.
