Christopher M. Pedigo
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.
Christopher M Pedigo, who also goes by Christopher Michael Pedigo, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2010. Christopher had worked at 6 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
March 15, 2016 - February 9, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 14, 2016 - February 9, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 28, 2015 - February 25, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 26, 2015 - February 25, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 29, 2014 - January 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 27, 2014 - January 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 24, 2012 - October 7, 2014
THE HUNTINGTON INVESTMENT COMPANY
April 20, 2012 - October 7, 2014
THE HUNTINGTON INVESTMENT COMPANY
September 2, 2010 - June 17, 2011
MORGAN STANLEY
June 30, 2010 - June 17, 2011
MORGAN STANLEY
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.
