Shawn M. Oesterreicher
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.
Shawn Matthew Oesterreicher, who also goes by Shawn Oesterreicher, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2014. Shawn had worked at 2 firms and has passed the Series 66, Series 3, 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
May 22, 2017 - October 9, 2024
STATS INVESTMENTS
October 6, 2014 - February 5, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
STATS INVESTMENTS
CRD#: 286231 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 510,783 |
Red Flags
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