Gary O. Robison
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.
Gary Owen Robison was a registered financial advisor .
Gary is a previously registered financial advisor and started their career in finance in 1978. Gary had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
August 8, 2017 - June 21, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 22, 2007 - July 7, 2016
EMPOWER FINANCIAL SERVICES, INC.
March 17, 2006 - September 6, 2006
CAMBRIDGE RETIREMENT ADVISORS
March 17, 2006 - September 6, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 30, 2004 - March 30, 2006
LEGEND ADVISORY, LLC
May 13, 2004 - March 30, 2006
LEGEND EQUITIES CORPORATION
March 3, 1998 - May 13, 2004
HIMCO DISTRIBUTION SERVICES COMPANY
October 8, 1991 - February 17, 1995
THE GREAT-WEST LIFE ASSURANCE COMPANY
October 8, 1991 - January 5, 1998
EMPOWER FINANCIAL SERVICES, INC.
May 23, 1989 - April 5, 1991
EMPOWER FINANCIAL SERVICES, INC.
August 12, 1985 - March 2, 1989
CITISTREET EQUITIES LLC
May 29, 1984 - September 30, 1985
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 2, 1983 - September 9, 1985
HIMCO DISTRIBUTION SERVICES COMPANY
June 24, 1982 - January 14, 1983
CITISTREET EQUITIES LLC
April 3, 1980 - March 11, 1982
CITISTREET EQUITIES LLC
September 1, 1978 - December 22, 1987
E. F. HUTTON & COMPANY 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.
