Amanda F. Hartson
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.
Amanda Faye Hartson, who also goes by Amanda Faye Eldred, Amanda Faye Eldred, Amanda Faye Fowler, Amanda Faye Fowler, Amanda Faye Hartson, Amanda Faye Moss, Amanda Faye Moss, was a registered financial professional .
Amanda is a previously registered financial professional and started their career in finance in 2008. Amanda had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2019 - June 21, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 11, 2018 - April 23, 2018
ARVEST WEALTH MANAGEMENT
December 21, 2017 - December 22, 2017
ARVEST WEALTH MANAGEMENT
December 21, 2017 - April 23, 2018
ARVEST WEALTH MANAGEMENT
July 27, 2016 - January 2, 2018
BANKERS LIFE ADVISORY SERVICES, INC.
July 25, 2016 - January 2, 2018
BANKERS LIFE SECURITIES, INC.
July 21, 2015 - May 4, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 20, 2015 - May 4, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 5, 2010 - July 8, 2015
EDWARD JONES
June 28, 2010 - July 8, 2015
EDWARD JONES
February 26, 2010 - June 28, 2010
ROYAL ADVISORS, LLC
September 25, 2009 - June 28, 2010
ROYAL SECURITIES COMPANY
February 9, 2009 - September 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 2008 - February 2, 2009
AUTO CLUB FUNDS, 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.
