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Detailed Report
AMANDA KAYE BLUM
CRD#: 5375481
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 Denver, CO
Registration History
20082010201220142016201820202022202420262 FIRMS2020 - 2022 (2 years)2 FIRMS2023 - Present (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2016 - 2020 (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2007 - 2016 (8 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2017 - 2020 (2 years)
License(s)

State Registrations

B
Colorado 7/28/2023
IA
Wisconsin 7/31/2023
B
Wisconsin 7/28/2023

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)
Denver, CO
Registered with this firm since 7/31/2023
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
Denver, CO
Registered with this firm since 7/28/2023
Previous Registration(s)
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IA
 04/20/2020 - 06/01/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Denver, CO
B
 04/20/2020 - 06/01/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Denver, CO
IA
 12/15/2017 - 04/21/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) DENVER, CO
B
 06/20/2016 - 04/21/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) DENVER, CO
B
 07/27/2007 - 02/12/2016 CHARLES SCHWAB & CO., INC. (CRD#:5393) DENVER, CO
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.