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SHAWN LORENZ LEJA
CRD#: 2733154
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 FRANKLIN, WI
0
Disclosures
28
Years of Experience
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State Registrations
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Alabama 8/2/2011
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Montana 8/2/2011
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Alaska 8/2/2011
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Nebraska 8/2/2011
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Arizona 8/2/2011
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Nevada 8/2/2011
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Arkansas 8/2/2011
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New Hampshire 8/2/2011
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California 8/2/2011
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New Jersey 8/2/2011
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Colorado 8/2/2011
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New Mexico 8/2/2011
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Connecticut 8/2/2011
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New York 8/2/2011
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Delaware 8/2/2011
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North Carolina 8/8/2011
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District of Columbia 8/2/2011
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North Dakota 8/2/2011
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Florida 8/2/2011
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Ohio 8/2/2011
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Georgia 8/2/2011
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Oklahoma 8/2/2011
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Hawaii 8/2/2011
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Oregon 8/2/2011
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Idaho 8/2/2011
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Pennsylvania 8/2/2011
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Illinois 8/2/2011
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Rhode Island 8/2/2011
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Indiana 8/2/2011
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South Carolina 8/2/2011
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Iowa 8/2/2011
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South Dakota 8/2/2011
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Kansas 8/2/2011
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Tennessee 8/2/2011
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Kentucky 8/2/2011
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Texas 8/2/2011
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Louisiana 8/2/2011
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Utah 8/2/2011
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Maine 8/2/2011
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Vermont 8/2/2011
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Maryland 8/2/2011
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Virginia 8/2/2011
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Massachusetts 8/2/2011
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Washington 8/2/2011
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Michigan 8/2/2011
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West Virginia 8/2/2011
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Minnesota 8/2/2011
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Wisconsin 8/2/2011
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Mississippi 8/2/2011
IA
Wisconsin 6/23/2015
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Missouri 8/2/2011
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Wyoming 8/2/2011
SRO Registrations
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IA
Registered with this firm since 6/23/2015
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Registered with this firm since 8/2/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/23/2005 - 07/18/2011 | MENOMONEE FALLS, WI | |
B | 02/14/2000 - 04/23/2005 | MENOMONEE FALLS, WI | |
B | 05/31/1996 - 02/02/2000 | ST. LOUIS, MO |
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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.