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Detailed Report
SCOTT ADAM GOLDSTEIN
CRD#: 2440221
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1 N WACKER DR STE 4600
CHICAGO, IL 60606
Registration History
1995200020052010201520202025IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2007 - Present (17 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)1994 - Present (31 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)1994 - 2002 (8 years)IANORTHWESTERN MUTUAL WEALTH MAN... (CRD# 109729)2006 - 2007 (<1 year)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2002 - 2006 (3 years)
License(s)

State Registrations

B
Alabama 2/26/2024
B
Missouri 5/14/2007
B
Arizona 11/12/2015
B
Nevada 2/4/2025
B
California 1/1/2002
B
New Jersey 1/1/2002
B
Colorado 1/1/2002
B
New York 11/2/2011
B
Connecticut 11/5/2015
B
North Carolina 6/22/2010
B
Florida 12/6/2013
B
North Dakota 10/14/2008
B
Georgia 3/11/2003
B
Ohio 6/20/2005
B
Hawaii 5/22/2013
B
Oregon 5/20/2021
B
Illinois 1/1/2002
B
Pennsylvania 1/1/2002
IA
Illinois 5/22/2007
B
South Carolina 10/23/2023
B
Indiana 1/1/2002
B
Tennessee 1/16/2019
B
Iowa 2/2/2023
B
Texas 5/7/2004
B
Kansas 12/2/2020
B
Virginia 7/27/2016
B
Massachusetts 1/1/2002
B
Washington 8/29/2013
B
Michigan 11/6/2020
B
Wisconsin 4/20/2004
B
Minnesota 2/7/2002

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
1 N WACKER DR STE 4600, CHICAGO, IL 60606
Registered with this firm since 5/22/2007
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
1 N WACKER DR STE 4600, CHICAGO, IL 60606
Registered with this firm since 1/19/1994
Previous Registration(s)
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IA
 06/07/2006 - 04/30/2007 NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY (CRD#:109729) MILWAUKEE, WI
IA
 10/30/2002 - 06/07/2006 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) CHICAGO, IL
B
 01/19/1994 - 01/01/2002 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.