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Detailed Report
ELENA CHRISTINE PHILLIPS
ELENA CHRISTINE LUCHAY
CRD#: 2560844
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 20825 Swenson Dr Ste 250
Waukesha, WI 53186
Registration History
19952000200520102015202020252 FIRMS2013 - Present (12 years)BSII INVESTMENTS, INC. (CRD# 2225)2001 - 2012 (10 years)BUSALLIANZ SECURITIES, INC. (CRD# 40875)2001 - 2001 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1994 - 1999 (4 years)IASII INVESTMENTS, INC. (CRD# 2225)2011 - 2012 (<1 year)IASII INVESTMENTS, INC. (CRD# 2225)2008 - 2009 (1 year)
License(s)

State Registrations

B
Wisconsin 2/28/2013
IA
Wisconsin 2/28/2013

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)
20825 Swenson Dr Ste 250, Waukesha, WI 53186
Registered with this firm since 2/28/2013
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
20825 Swenson Dr Ste 250, Waukesha, WI 53186
Registered with this firm since 2/28/2013
Previous Registration(s)
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IA
 07/21/2011 - 01/18/2012 SII INVESTMENTS, INC. (CRD#:2225) BROOKFIELD, WI
B
 09/12/2001 - 01/18/2012 SII INVESTMENTS, INC. (CRD#:2225) BROOKFIELD, WI
IA
 05/12/2008 - 08/14/2009 SII INVESTMENTS, INC. (CRD#:2225) BROOKFIELD, WI
B
 01/16/2001 - 08/29/2001 USALLIANZ SECURITIES, INC. (CRD#:40875) MINNEAPOLIS, MN
B
 11/25/1994 - 02/16/1999 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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.