Saber Aggoub
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.
Saber Aggoub was a registered financial professional .
Saber is a previously registered financial professional and started their career in finance in 2016. Saber had worked at 7 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
November 20, 2024 - February 11, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 20, 2024 - February 11, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 30, 2022 - November 22, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
June 30, 2022 - November 22, 2022
ALLSTATE FINANCIAL SERVICES, LLC
August 12, 2021 - April 29, 2022
CETERA INVESTMENT ADVISERS LLC
August 11, 2021 - April 29, 2022
CETERA INVESTMENT SERVICES LLC
February 28, 2020 - August 5, 2021
OSAIC WEALTH, INC.
December 13, 2019 - August 24, 2021
MADISON ADVISORY SERVICES, INC.
November 14, 2016 - February 20, 2020
OSAIC WEALTH, INC.
August 10, 2016 - August 5, 2021
OSAIC WEALTH, INC.
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.
