Individual Firm
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JORDAN STEPHEN SMITH
CRD#: 5567101
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 825 SIMMS ST
LAKEWOOD, CO 80401
LAKEWOOD, CO 80401
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4/28/2016
Regulatory
Final
9/22/2015
Regulatory
Final
7/17/1995
Criminal
Final Disposition
State Registrations
B
Arizona 8/29/2016
B
Minnesota 6/6/2023
B
California 4/15/2010
B
Nebraska 2/26/2025
B
Colorado 3/9/2009
B
Nevada 2/27/2025
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Colorado 3/3/2015
B
New Jersey 4/24/2024
B
Delaware 5/15/2019
B
New Mexico 1/3/2022
B
Florida 2/28/2019
B
Oregon 5/19/2015
B
Illinois 2/23/2023
B
Texas 2/26/2016
B
Indiana 3/6/2025
B
Utah 8/7/2014
B
Kansas 5/21/2015
B
Vermont 6/8/2023
B
Maine 8/2/2023
B
Virginia 11/30/2012
B
Michigan 12/22/2022
B
Washington 8/7/2009
SRO Registrations
B
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Registered with this firm since 3/3/2015
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Registered with this firm since 3/5/2009
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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.
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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.
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