Scott M. Stanley
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.
Scott M Stanley, who also goes by Scott M Stanley, Scott Michael Stanley, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2009. Scott had worked at 7 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
April 6, 2020 - March 2, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 2, 2017 - April 26, 2018
FBL MARKETING SERVICES, LLC
July 16, 2013 - December 13, 2016
BANCWEST INVESTMENT SERVICES, INC.
July 11, 2013 - December 13, 2016
BANCWEST INVESTMENT SERVICES, INC.
September 6, 2012 - July 8, 2013
CUSO FINANCIAL SERVICES, L.P.
August 28, 2012 - July 8, 2013
CUSO FINANCIAL SERVICES, L.P.
November 29, 2011 - July 30, 2012
TD AMERITRADE, INC.
November 29, 2011 - July 30, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 1, 2011 - July 30, 2012
TD AMERITRADE, INC.
August 6, 2009 - August 31, 2011
PRUCO SECURITIES, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
