Aaron W. Richter

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CRD#: 6240608

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.

Aaron Wade Richter, who also goes by Aaron W Richter, Aaron Wade Richter, was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2013. Aaron had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Aaron W Richter | Aaron Wade Richter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) DBA "Aaron Richter", S Ananea, Mesa, AZ, 85209, A/T: Other, 01/01/2023, Musician, Not Investment Related, HPM: 2-10, HPM trad hrs: 0-1 Description of Duties: I get paid for performing at live events or recording sessions. 5-10 occurrences per year (2) AARON RICHTER, NON-FINANCIAL SERVICES BUSINESS, START DATE: 1/1/2023, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, I AM A MUSICIAN - I GET PAID FOR PERFORMING AT LIVE EVENTS AND/OR RECORDING SESSIONS AROUND THE PHOENIX METRO AREA. NON-INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 10, 2025 - October 22, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Mesa, AZ

Past

July 9, 2025 - October 22, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Mesa, AZ

Past

July 17, 2019 - March 18, 2025

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

June 11, 2018 - March 18, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Mesa, AZ

Past

May 30, 2018 - March 18, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

August 21, 2017 - January 10, 2018

HARRISDIRECT LLC

RIA

CRD#: 42159

Seattle, WA

Past

August 16, 2017 - January 10, 2018

E*TRADE SECURITIES LLC

CRD#: 29106

SEATTLE, WA

Past

June 7, 2016 - August 16, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TUKWILA, WA

Past

April 25, 2016 - August 16, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TUKWILA, WA

Past

December 4, 2015 - February 16, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

October 14, 2013 - February 16, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA

Registered Investment Advisory firm - SEC (12/10/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/3/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/9/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/14/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/15/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/16/2015

General Securities Sales Supervisor - Options Module Examination

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA

Registered Investment Advisory firm - SEC (12/10/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797

Mailing Address

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797

Phone number

(414) 271-1444

Established

Wisconsin since 06/10/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

2,577

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NMIS DISCLOSURE BROCHURE 3.31.2025 (3/31/2025)

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.

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Aaron W. Richter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/3/2016

Series 63

Date: 12/9/2013

SIE

Date: 10/1/2018

Series 7

Date: 10/14/2013

Series 10

Date: 8/15/2015

Series 9

Date: 3/16/2015

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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