Jonathan T. Weaver
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.
Jonathan Thomas Weaver, who also goes by Jonathan T Weaver, Jt Weaver, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2009. Jonathan had worked at 9 firms and has passed the Series 65, Series 63, SIE 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 25, 2022 - March 15, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 8, 2020 - January 11, 2022
CITIZENS SECURITIES, INC.
June 26, 2020 - January 11, 2022
CITIZENS SECURITIES, INC.
July 26, 2019 - January 30, 2020
INNOVATIVE ADVISORY GROUP
February 14, 2018 - July 8, 2019
MML INVESTORS SERVICES, LLC
November 4, 2016 - January 18, 2018
PRUCO SECURITIES, LLC.
August 12, 2015 - September 14, 2015
SECURITIES AMERICA, INC.
March 26, 2015 - June 30, 2015
CITIZENS SECURITIES, INC.
April 22, 2014 - December 19, 2014
SANTANDER SECURITIES LLC
November 22, 2011 - February 13, 2013
HORNOR, TOWNSEND & KENT, LLC
January 1, 2009 - February 23, 2010
CHASE INVESTMENT SERVICES CORP.
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.
