Douglas H. Mcdonald
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.
Douglas Hugh Mcdonald was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1982. Douglas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 15, Series 5, PC, Series 7, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2010 - January 4, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 6, 2002 - January 4, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 2, 2002 - June 13, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 19, 2000 - May 9, 2002
ROBERT W. BAIRD & CO. INCORPORATED
May 31, 2000 - June 19, 2000
SKEFFINGTON SECURITIES, L.L.C.
June 15, 1998 - June 19, 2000
TAFFERER TRADING, LLC
March 23, 1998 - June 4, 1998
BROAD STREET SECURITIES, INC.
June 30, 1995 - June 6, 1996
LPL FINANCIAL LLC
January 28, 1994 - May 22, 1995
NORTH AMERICAN FINANCIAL GROUP, INC.
October 1, 1991 - August 24, 1993
A. G. EDWARDS & SONS, INC.
August 16, 1982 - September 16, 1991
MORGAN STANLEY DW INC.
January 6, 1982 - August 18, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 1/10/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 8/27/1986
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 12
Date: 7/3/1980
NYSE Branch Manager 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.
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