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Jeffrey Alan Novak
Jeffrey Novak
CRD#: 4246978
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 101 W Big Beaver Rd
Ste 500
TROY, MI 48084
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2020 - 2021 (1 year)2 FIRMS2022 - Present (2 years)BAXA ADVISORS, LLC (CRD# 6627)2018 - 2020 (1 year)BT3 TRADING GROUP, LLC (CRD# 154431)2014 - 2015 (<1 year)BWTS PROPRIETARY TRADING GROUP LLC (CRD# 148117)2011 - 2014 (3 years)BOCEAN VIEW CAPITAL, LLC (CRD# 148616)2011 - 2011 (<1 year)BECHOTRADE LLC (CRD# 42239)2006 - 2007 (1 year)BROSENTHAL COLLINS EQUITIES, L.L.C. (CRD# 44888)2005 - 2006 (1 year)BMAY FINANCIAL CORPORATION (CRD# 3927)2001 - 2004 (3 years)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)2000 - 2001 (<1 year)IAAXA ADVISORS, LLC (CRD# 6627)2019 - 2020 (1 year)
Disclosure(s)
View By:
7/7/2016
Financial
Final
License(s)

State Registrations

IA
Michigan 5/16/2022

B
Michigan 5/18/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
101 W Big Beaver Rd Ste 500, TROY, MI 48084
Registered with this firm since 5/16/2022

B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
101 W Big Beaver Rd Ste 500, TROY, MI 48084
Registered with this firm since 5/16/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/08/2020 - 10/21/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) TROY, MI
B
10/06/2020 - 10/21/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) TROY, MI
IA
05/01/2019 - 05/11/2020 AXA ADVISORS, LLC (CRD#:6627) TROY, MI
B
09/13/2018 - 05/11/2020 AXA ADVISORS, LLC (CRD#:6627) TROY, MI
B
11/07/2014 - 02/26/2015 T3 TRADING GROUP, LLC (CRD#:154431) NEW YORK, NY
B
10/07/2011 - 11/07/2014 WTS PROPRIETARY TRADING GROUP LLC (CRD#:148117) NEW YORK, NY
B
01/28/2011 - 09/22/2011 OCEAN VIEW CAPITAL, LLC (CRD#:148616) RANCHO SANTA FE, CA
B
04/28/2006 - 08/10/2007 ECHOTRADE LLC (CRD#:42239) PHOENIX, AZ
B
03/23/2005 - 03/06/2006 ROSENTHAL COLLINS EQUITIES, L.L.C. (CRD#:44888) CHICAGO, IL
B
08/06/2001 - 10/20/2004 MAY FINANCIAL CORPORATION (CRD#:3927) DALLAS, TX
B
10/09/2000 - 07/31/2001 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
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B
Broker
IA
Investment Adviser
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.