Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SAEDE PAUL MALEKI
SY MALEKI
CRD#: 2158902
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 731 N Jackson St Ste 200
MILWAUKEE, WI 53202
MILWAUKEE, WI 53202
View By:
5/4/2001
Customer Dispute
Denied
4/24/2001
Customer Dispute
Denied
State Registrations
B
Arizona 3/27/2015
B
New Mexico 9/22/2021
B
California 1/1/2002
B
New York 1/2/2008
B
Colorado 4/24/2003
B
North Carolina 1/26/2005
B
Connecticut 2/25/2013
B
North Dakota 5/17/2024
B
Florida 1/1/2002
B
Ohio 2/5/2007
B
Georgia 8/20/2015
B
Oregon 4/24/2019
B
Idaho 11/18/2014
B
Pennsylvania 3/29/2021
B
Illinois 1/1/2002
B
South Carolina 7/23/2013
B
Indiana 5/13/2014
B
Tennessee 9/8/2022
B
Kansas 3/4/2015
B
Texas 3/1/2013
B
Kentucky 1/1/2002
B
Utah 5/13/2021
B
Maryland 7/7/2009
B
Vermont 11/10/2021
B
Michigan 11/4/2019
B
Virginia 10/17/2019
B
Minnesota 1/1/2002
B
Washington 4/24/2019
B
Montana 2/2/2012
B
Wisconsin 1/1/2002
B
New Hampshire 12/8/2021
IA
Wisconsin 5/24/2018
B
New Jersey 3/27/2017
B
Wyoming 5/29/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/24/2018
B
Registered with this firm since 3/5/1992
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/28/2002 - 09/14/2016 | MILWAUKEE, WI | |
IA | 05/27/2003 - 04/30/2007 | MILWAUKEE, WI | |
B | 03/05/1992 - 01/01/2002 | MILWAUKEE, WI | |
B | 07/25/1991 - 02/18/1992 | SPRINGFIELD, MA | |
B | 07/25/1991 - 02/18/1992 | NEW YORK, NY |
MILWAUKEE, WI
05/27/2003 - 04/30/2007
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.