Ronald D. Wilkins
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.
Ronald Dewey Wilkins, who also goes by Ronald Dewey Wilkins, Ron Wilkins, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1980. Ronald had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2015 - June 13, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 10, 2014 - December 24, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 30, 2013 - April 25, 2014
FIRST HEARTLAND CAPITAL, INC.
January 9, 2009 - November 19, 2012
M HOLDINGS SECURITIES, INC.
August 1, 2003 - April 21, 2005
WALNUT STREET SECURITIES, INC.
October 20, 1997 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
August 21, 1991 - October 8, 1997
ROBERT W. BAIRD & CO. INCORPORATED
August 21, 1991 - December 8, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 11, 1983 - July 12, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 11, 1983 - July 12, 1991
EQUITABLE ADVISORS, LLC
October 20, 1980 - July 12, 1991
EQUITABLE ADVISORS, LLC
January 15, 1980 - June 20, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Series 1
Date: 1/15/1980
Registered Representative ExaminationCurrent 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.
