Cynthia H. Nodson
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.
Cynthia H. Nodson, who also goes by Cynthia H Baker, Cindy Baker, Cynthia Helen Baker, Cindy Nodson, Cynthia H Nodson, Cynthia Helen Nodson, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 2008. Cynthia had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2017 - May 25, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 29, 2017 - May 25, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 12, 2016 - June 12, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 11, 2016 - June 12, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 19, 2015 - September 22, 2016
MSI FINANCIAL SERVICES, INC.
December 4, 2013 - December 19, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 3, 2013 - December 19, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 20, 2008 - June 10, 2011
NORTHWESTERN MUTUAL INVESTMENT 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.
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