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Detailed Report
DANIEL EDWARD GATIEN
CRD#: 2898621
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 601 UNION ST STE 2500
SEATTLE, WA 98101
Registration History
199820002002200420062008201020122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2007 - Present (17 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2004 - Present (21 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)1998 - 2003 (5 years)IANORTHWESTERN MUTUAL WEALTH MAN... (CRD# 109729)2007 - 2007 (<1 year)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2004 - 2007 (2 years)
License(s)

State Registrations

B
Alaska 6/15/2022
B
New Mexico 12/20/2018
B
Arizona 1/31/2011
B
New York 12/20/2018
B
California 1/31/2011
B
Ohio 1/3/2020
B
Colorado 2/25/2020
B
Oregon 1/31/2011
B
Delaware 11/3/2022
B
Pennsylvania 1/31/2011
B
Hawaii 1/3/2020
B
Texas 4/15/2013
B
Idaho 10/19/2023
B
Utah 10/19/2023
B
Kentucky 11/8/2024
B
Virginia 12/20/2018
B
Massachusetts 4/8/2024
B
Washington 1/15/2004
B
Missouri 8/17/2022
IA
Washington 10/30/2007
B
Montana 6/16/2022
B
Wisconsin 7/25/2023
B
Nevada 11/3/2022

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)
601 UNION ST STE 2500, SEATTLE, WA 98101
Registered with this firm since 10/30/2007
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
601 UNION ST STE 2500, SEATTLE, WA 98101
Registered with this firm since 1/15/2004
Previous Registration(s)
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IA
 02/14/2007 - 04/30/2007 NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY (CRD#:109729) MILWAUKEE, WI
IA
 06/25/2004 - 02/14/2007 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) SEATTLE, WA
B
 09/08/1998 - 11/11/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
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.