Adam J. Zechman
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.
Adam Jared Zechman was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2004. Adam had worked at 9 firms and has passed the Series 66 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2013 - June 3, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 14, 2013 - June 3, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 18, 2011 - April 23, 2013
LUPO SECURITIES, LLC
January 8, 2008 - August 26, 2010
EQUITEC STRUCTURED PRODUCTS,LLC
February 28, 2007 - January 18, 2008
EQUITEC PROPRIETARY MARKETS, LLC
August 19, 2005 - June 13, 2006
CUTLER GROUP, LLC
December 13, 2004 - May 12, 2005
CITIGROUP DERIVATIVES MARKETS INC.
December 10, 2004 - December 13, 2004
CITIGROUP DERIVATIVES MARKETS INC.
December 9, 2004 - March 14, 2005
CITIGROUP GLOBAL MARKETS INC.
August 31, 2004 - December 10, 2004
KNIGHT FINANCIAL PRODUCTS LLC
June 22, 2004 - December 9, 2004
KNIGHT EXECUTION PARTNERS LLC
June 14, 2004 - June 22, 2004
KNIGHT FINANCIAL PRODUCTS 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.
