John D. Lowe
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.
John Dana Lowe, who also goes by John D Lowe, John Dana Lowe, John Lowe, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 21 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 9, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2022 - September 24, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 20, 2014 - February 5, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 4, 2014 - February 5, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 3, 2013 - February 20, 2014
NATIONWIDE SECURITIES, LLC
April 12, 2011 - February 15, 2012
EVERLAKE DISTRIBUTORS, LLC
August 6, 2009 - April 6, 2011
ALLSTATE FINANCIAL SERVICES, LLC
August 1, 2008 - December 19, 2008
NATIONWIDE SECURITIES, LLC
August 1, 2008 - December 19, 2008
NATIONWIDE SECURITIES, LLC
April 14, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
February 22, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
July 28, 2005 - January 29, 2008
1717 CAPITAL MANAGEMENT COMPANY
June 16, 2004 - January 29, 2008
NATIONWIDE SECURITIES, LLC
April 12, 2002 - May 10, 2004
WORLD GROUP SECURITIES, INC.
November 7, 2001 - April 12, 2002
WMA SECURITIES, INC.
July 31, 1999 - December 8, 2000
PRUCO SECURITIES, LLC.
April 29, 1999 - June 16, 1999
COUCH & COMPANY, INCORPORATED
August 1, 1996 - March 25, 1997
PRIVATE INVESTORS EQUITY GROUP
April 28, 1993 - August 19, 1994
FLEET ENTERPRISES, INC.
June 1, 1992 - April 13, 1993
DIME SECURITIES, INC.
August 23, 1991 - November 20, 1991
SECURITIES AMERICA, INC.
September 25, 1990 - December 19, 1990
CITICORP FINANCIAL SERVICES,INC.
May 11, 1990 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
January 22, 1990 - May 9, 1990
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 1, 1989 - November 30, 1989
HARBOR AMERICAN INVESTMENT GROUP, INC.
August 4, 1986 - May 9, 1990
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 15, 1984 - January 30, 1986
GEMINI CAPITAL CORP.
March 27, 1984 - April 24, 1984
FIRST CAPITAL INVESTMENT CORPORATION
September 27, 1983 - March 29, 1984
NATHAN & LEWIS SECURITIES, INC.
November 20, 1980 - September 16, 1983
PRUDENTIAL EQUITY GROUP, LLC
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.
