Dean A. Rossetti
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.
Dean A Rossetti, CFP®, who also goes by Dean Anthony Rossetti, Dean Rossetti, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 2008. Dean had worked at 9 firms and has passed the Series 65, 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
April 13, 2022 - June 7, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 13, 2022 - June 7, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 29, 2021 - December 1, 2021
FACET
March 30, 2021 - November 16, 2021
MORGAN STANLEY
March 25, 2021 - November 16, 2021
MORGAN STANLEY
July 18, 2019 - April 13, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 16, 2019 - April 13, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 13, 2017 - May 21, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 11, 2017 - May 21, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 30, 2017 - June 13, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2017 - June 13, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 2015 - January 25, 2017
MSI FINANCIAL SERVICES, INC.
January 8, 2013 - June 10, 2015
J.P. MORGAN SECURITIES LLC
September 21, 2011 - December 18, 2012
USAA FINANCIAL PLANNING SERVICES
July 19, 2011 - December 18, 2012
USAA FINANCIAL ADVISORS, INC.
February 6, 2008 - July 24, 2009
VANGUARD MARKETING CORPORATION
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.
