John J. Manning
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.
John Joseph Manning, who also goes by John J Manning, John Joseph Manning, John Manning, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2006. John had worked at 8 firms and has passed the Series 63, 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
April 19, 2023 - November 13, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 4, 2022 - April 20, 2022
MML INVESTORS SERVICES, LLC
June 17, 2021 - November 18, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 3, 2021 - November 17, 2021
FIDELITY BROKERAGE SERVICES LLC
January 26, 2021 - April 1, 2021
ASSETMARK, INC.
June 11, 2019 - September 16, 2019
J. W. COLE ADVISORS, INC.
May 10, 2018 - November 28, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 30, 2018 - November 28, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 12, 2013 - October 29, 2013
STRATEGIC ADVISERS LLC
June 5, 2006 - October 24, 2016
FIDELITY BROKERAGE 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.
