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Alexander Thomas Tri Pohlmann
ALEX POHLMANN, ALEXANDER T POHLMANN, ALEXANDER TT POHLMANN, ALEXANDER POHLMANN, Alex Pohlmann…
CRD#: 7266716
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1245 Jordan Creek Pkwy
Suite 200
W Des Moines, IA 50266
Suite 200
W Des Moines, IA 50266
0
Disclosures
2
Years of Experience
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State Registrations
B
Iowa 10/13/2023
IA
Iowa 10/20/2023
SRO Registrations
B
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IA
Registered with this firm since 10/20/2023
B
Registered with this firm since 10/13/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/18/2022 - 03/06/2023 | LAKEWOOD, CO | |
B | 11/18/2022 - 03/06/2023 | LAKEWOOD, CO | |
IA | 07/22/2022 - 10/03/2022 | Scottsdale, AZ | |
B | 07/22/2022 - 10/03/2022 | SCOTTSDALE, AZ | |
IA | 09/13/2021 - 11/26/2021 | CHANDLER, AZ | |
B | 09/13/2021 - 11/26/2021 | CHANDLER, AZ | |
IA | 12/11/2020 - 03/24/2021 | GILBERT, AZ | |
B | 09/15/2020 - 03/24/2021 | GILBERT, AZ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.