Daniel J. Stack
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.
Daniel John Stack, who also goes by Dan Stack, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1976. Daniel had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2010 - March 19, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 8, 1989 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 8, 1989 - March 19, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 4, 1989 - December 31, 1993
ROBERT W. BAIRD & CO. INCORPORATED
July 19, 1988 - January 18, 1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 4, 1986 - April 19, 1988
MONY SECURITIES CORPORATION
November 27, 1985 - March 18, 1986
OLD SLIP CAPITAL MANAGEMENT, INC.
June 6, 1983 - December 27, 1984
PAULSON INVESTMENT COMPANY LLC
March 8, 1977 - June 24, 1982
OLD SLIP CAPITAL MANAGEMENT, INC.
January 4, 1977 - March 8, 1977
MODERN AMERICA SECURITIES CORPORATION
December 8, 1976 - October 26, 1977
1717 CAPITAL MANAGEMENT COMPANY
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: 11/26/1976
Registered Representative ExaminationSeries 8
Date: 1/17/1989
General Securities Sales Supervisor Examination (Options Module & General Module)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.
