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TS

Therese M. Swanson

Some features on this profile are disabled
CRD#: 5099538
TS

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.

Therese Marie Swanson, who also goes by Therese Marie Johnson Mrs., Therese Marie Schmit, Therese Marie Swanson Mrs., was a registered financial professional .

Therese is a previously registered financial professional and started their career in finance in 2006. Therese had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Therese Marie Johnson Mrs. | Therese Marie Schmit | Therese Marie Swanson Mrs.

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 8, 2010 - April 9, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
YORK, NE
Past

June 1, 2009 - December 22, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
AMES, IA
Past

July 2, 2008 - August 26, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
DES MOINES, IA
Past

October 13, 2006 - May 15, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
NORTH PLATTE, NE
Past

April 26, 2006 - August 23, 2006

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
GOTHENBURG, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA
Registered Investment Advisory firm - SEC (12/10/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/9/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/2006
General Securities Representative Examination

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA
Registered Investment Advisory firm - SEC (12/10/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
Mailing Address
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
Phone number
(414) 271-1444
Established
Wisconsin since 06/10/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,577

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NMIS DISCLOSURE BROCHURE 3.31.2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANYSOLE MEMBER
ALBERS, BRETT BERNARDTREASURER / FINANCIAL AND OPERATIONS PRINCIPAL6669890
DOLL, QUENTIN MICHAELVICE PRESIDENT - RISK PRODUCTS6776231
EULL, BRADLEY LEAHYSECRETARY2969269
KALINOWSKI, DAWN MARIEVICE PRESIDENT - CHIEF OPERATIONS OFFICER2770565
LUND, NICOLE ELLENVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4646907
SCHULTZ, DEBORAH ALLISONVICE PRESIDENT AND CHIEF RISK OFFICER7440134
TOMCZAK, BONNIE LYNNVICE PRESIDENT - WEALTH2966038
VALTERS, LAILA MPRESIDENT AND CEO3010005

Disclosures

Regulatory Event10
Arbitration1

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.

Company Information

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

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