Stephanie Quadros
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.
Stephanie Quadros was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2006. Stephanie had worked at 8 firms and has passed the Series 66, SIE, Series 7, 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
July 1, 2025 - November 3, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 25, 2025 - November 3, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 19, 2022 - December 20, 2024
LPL FINANCIAL LLC
May 18, 2022 - December 20, 2024
LPL FINANCIAL LLC
December 17, 2019 - June 6, 2022
CUNA BROKERAGE SERVICES, INC.
December 16, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
October 6, 2014 - February 26, 2019
MORGAN STANLEY
October 6, 2014 - February 26, 2019
MORGAN STANLEY
September 15, 2014 - October 14, 2014
HSBC SECURITIES (USA) INC.
September 9, 2014 - October 14, 2014
HSBC SECURITIES (USA) INC.
January 10, 2012 - November 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 9, 2012 - November 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2007 - January 4, 2012
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - January 4, 2012
CITIGROUP GLOBAL MARKETS INC.
June 19, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 7, 2006 - May 3, 2006
HSBC SECURITIES (USA) INC.
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.
