Individual Firm
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SETH RICHARD TRACY
CRD#: 2939517
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 9300 UNDERWOOD AVENUE
SUITE 500 EMBASSY TOWER
OMAHA, NE 68114
SUITE 500 EMBASSY TOWER
OMAHA, NE 68114
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11/7/2005
Customer Dispute
Settled
State Registrations
B
Arizona 2/4/2008
B
Missouri 7/17/2017
B
Arkansas 9/24/2012
B
Nebraska 1/1/2002
B
Colorado 1/1/2002
IA
Nebraska 9/27/2007
B
Delaware 3/3/2025
B
New York 11/12/2020
B
Florida 2/24/2011
B
Oklahoma 6/26/2019
B
Idaho 5/4/2023
B
South Dakota 1/27/2014
B
Illinois 1/25/2016
B
Texas 10/24/2009
B
Iowa 1/1/2002
B
Utah 5/20/2022
B
Kansas 1/4/2022
B
Washington 12/12/2006
B
Massachusetts 2/10/2025
B
Wisconsin 10/20/2014
B
Minnesota 1/1/2002
B
Wyoming 1/14/2021
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 9/27/2007
B
Registered with this firm since 12/5/1997
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/01/2007 - 04/30/2007 | MILWAUKEE, WI | |
IA | 06/09/2005 - 01/31/2007 | OMAHA, NE | |
B | 04/15/1998 - 01/01/2002 | MILWAUKEE, WI |
MILWAUKEE, WI
02/01/2007 - 04/30/2007
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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.