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Detailed Report
SHARON SMILEY ZIMMERMAN
SHARON MARIE SMILEY, SHARON S ZIMNERMAN
CRD#: 4517108
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1049 4TH ST STE I
SANTA ROSA, CA 95404
Registration History
2002200420062008201020122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2005 - Present (19 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2002 - Present (22 years)IANORTHWESTERN MUTUAL WEALTH MAN... (CRD# 109729)2006 - 2007 (<1 year)
License(s)

State Registrations

B
Arizona 4/9/2003
B
Pennsylvania 9/22/2017
B
California 4/29/2002
B
Tennessee 10/16/2014
IA
California 10/12/2005
B
Texas 10/10/2013
B
Colorado 8/24/2007
B
Virginia 10/28/2021
B
Minnesota 9/30/2002
B
Washington 11/9/2017
B
Mississippi 2/5/2025
B
Wisconsin 7/1/2008
B
Oregon 9/8/2003

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)
1049 4TH ST STE I, SANTA ROSA, CA 95404
Registered with this firm since 10/12/2005
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
1049 4TH ST STE I, SANTA ROSA, CA 95404
Registered with this firm since 4/23/2002
Previous Registration(s)
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IA
 07/20/2006 - 04/30/2007 NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY (CRD#:109729) MILWAUKEE, WI
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.