Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that Kansas-based Northwestern Mutual Investment Services broker Calvin Finn is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Finn (CRD# 2190788).
Calvin Finn has spent 26 years in the securities industry and has been registered with Northwestern Mutual Investment Services in Hoisington, Kansas since 1992. He was previously registered with Robert W. Baird & Company in Milwaukee, Wisconsin (1999-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 1999; Series 7 (General Securities Representative Examination), which he obtained on December 14, 2006; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 14, 1992. He is registered with eight US states: Colorado, Iowa, Kansas, Maryland, Missouri, Oklahoma, Oregon, and Texas.
According to his BrokerCheck report, he has received one pending customer complaint.