Julia L. Pitkin-shantz
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.
Julia L Pitkin-shantz, CFP®, ChFC®, CLU®, who also goes by Julia Cefola, Julia P Macurda, Julia L Pitkin, Julia Lesley Pitkin, Julia Leslie Pitkin, Julia Macurda Pitkin, Julia Pitkin, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 1979. Julia had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 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
Start date: 1999
Experience
October 29, 2012 - September 14, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 1, 2012 - October 24, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 8, 1991 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
November 4, 1986 - September 23, 1989
ROBERT W. BAIRD & CO. INCORPORATED
November 4, 1986 - April 3, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 22, 1981 - January 10, 1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 11, 1980 - November 14, 1986
RETIREMENT INVESTMENT GROUP
November 19, 1979 - August 9, 1980
CINCINNATI ANALYSTS, 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
Series 1
Date: 11/9/1979
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
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