Angela Marie Thompson - Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

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Detailed ReportReport

Angela Marie Thompson

Angela M Thompson

CRD#: 6599377

Investment Adviser

Broker

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881

1600 DIVISION ST Ste 400
NASHVILLE, TN 37203

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Tennessee 7/22/2022

Tennessee 7/26/2022

SRO Registrations

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)

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)

1600 DIVISION ST Ste 400, NASHVILLE, TN 37203

Registered with this firm since 7/26/2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)

1600 DIVISION ST Ste 400, NASHVILLE, TN 37203

Registered with this firm since 7/21/2022

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	07/14/2020 - 03/02/2021	RBC CAPITAL MARKETS, LLC (CRD#:31194)	BOSTON, MA
B	07/14/2020 - 03/02/2021	RBC CAPITAL MARKETS, LLC (CRD#:31194)	BOSTON, MA
IA	08/24/2018 - 07/02/2020	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	BRENTWOOD, TN
B	07/22/2017 - 07/02/2020	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	BRENTWOOD, TN

RBC CAPITAL MARKETS, LLC (CRD#:31194)

BOSTON, MA

07/14/2020 - 03/02/2021

RBC CAPITAL MARKETS, LLC (CRD#:31194)

BOSTON, MA

07/14/2020 - 03/02/2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

BRENTWOOD, TN

08/24/2018 - 07/02/2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

BRENTWOOD, TN

07/22/2017 - 07/02/2020

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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.

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.