Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
HENRY W SLADEK
HENRY SLADEK
CRD#: 4945321
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 18575 Jamboree Rd
Ste 200
Irvine, CA 92612
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)BWADDELL & REED, INC. (CRD# 866)2005 - 2006 (<1 year)IAWADDELL & REED, INC. (CRD# 866)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 4/6/2021
B
Missouri 10/5/2023
B
Arizona 9/6/2011
B
Montana 8/25/2023
B
California 8/14/2014
B
Nebraska 5/2/2017
IA
California 9/11/2015
B
Nevada 8/24/2015
B
Colorado 1/31/2017
B
New Jersey 10/10/2018
B
Connecticut 8/23/2017
B
New York 4/10/2018
B
Delaware 5/25/2010
B
North Carolina 11/1/2016
B
District of Columbia 6/20/2017
B
Ohio 2/13/2018
B
Florida 6/2/2008
B
Pennsylvania 6/23/2006
B
Georgia 1/14/2014
B
South Carolina 6/26/2015
B
Hawaii 10/25/2024
B
Tennessee 10/29/2009
B
Idaho 6/29/2018
B
Texas 9/30/2013
B
Illinois 3/26/2025
B
Utah 12/15/2016
B
Indiana 9/27/2021
B
Virginia 12/3/2008
B
Louisiana 9/13/2019
B
Washington 5/30/2017
B
Maryland 8/3/2007
B
West Virginia 3/4/2016
B
Massachusetts 7/28/2017
B
Wyoming 3/6/2018
B
Michigan 7/20/2012

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)
18575 Jamboree Rd Ste 200, Irvine, CA 92612
Registered with this firm since 7/21/2006
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
18575 Jamboree Rd Ste 200, Irvine, CA 92612
Registered with this firm since 6/23/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/12/2006 - 05/25/2006 WADDELL & REED, INC. (CRD#:866) CHADD'S FORD, PA
B
 08/25/2005 - 05/25/2006 WADDELL & REED, INC. (CRD#:866) CHADD'S FORD, PA
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.