Steven Tran
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.
Steven Tran was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2008. Steven had worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2022 - December 31, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 4, 2022 - March 3, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 6, 2020 - June 10, 2021
WELLS FARGO CLEARING SERVICES, LLC
April 6, 2020 - June 10, 2021
WELLS FARGO CLEARING SERVICES, LLC
March 3, 2017 - December 9, 2019
CENTAURUS FINANCIAL, INC.
February 23, 2017 - December 9, 2019
CENTAURUS FINANCIAL, INC.
June 10, 2015 - June 21, 2016
LPL FINANCIAL LLC
June 9, 2015 - June 21, 2016
LPL FINANCIAL LLC
July 22, 2014 - May 18, 2015
TD AMERITRADE CLEARING, INC.
April 25, 2014 - May 18, 2015
TD AMERITRADE, INC.
April 25, 2014 - May 18, 2015
TD AMERITRADE, INC.
August 30, 2012 - April 17, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
August 29, 2012 - April 10, 2014
FIRST ALLIED SECURITIES, INC.
December 6, 2011 - August 31, 2012
LPL FINANCIAL LLC
September 29, 2008 - August 31, 2012
LPL FINANCIAL 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
