Articles Tagged with Northwestern Mutual Investment Services

Judith BufisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Judith Bufis was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Bufis (CRD# 1070648).

Judith Bufis has spent 32 years in the securities industry and was most recently registered with Kovack Securities in East Brunswick, New Jersey (2018). Previous registrations include Invest Financial Corporation in East Brunswick, New Jersey (2016-2017); TFS Securities in East Brunswick, New Jersey (2006-2014); ING Financial Partners in Des Moines, Iowa (2004-2006); Sammons Securities Company in Ann Arbor, Michigan (2002); Walnut Street Securities in El Segundo, California (1996-2002); North American Management in Sioux Falls, South Dakota (1996); Independent Financial Securities (1991-1995); Wealth Builders Equity Corporation (1990-1991); Ringler Securities Services in Orlando, Florida (1990); and Invest Financial Corporation in Appleton, Wisconsin (1983-1990). She has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which she obtained on September 7, 2018, and Series 7 (General Securities Representative Examination), which she obtained on March 19, 1983. She is currently not registered with any state or firm.

According to her BrokerCheck report, she was recently sanctioned by FINRA in connection to alleged rule violations.

Tristan O’NealPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Tristan O’Neal has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Neal (CRD# 5898324).

Tristan O’Neal has spent five years in the securities industry and was registered with Northwestern Mutual Investment Services in West Des Moines, Iowa from 2013 until 2018. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 15, 2012; SIE (Securities Industry Essentials Examination), which he obtained on July 28, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 30, 2013. He is currently not registered with any state or firm.

According to his BrokerCheck report, he recently resigned from his former employer and was sanctioned by state regulators in connection to alleged rule violations.

Karen DryPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2018 indicate that California-based Northwestern Mutual Investment Services broker Karen Dry has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Dry (CRD# 5669963).

Karen Dry has spent eight years in the securities industry and has been registered with Northwestern Mutual Investment Services in Woodland Hills, California since 2010. She has no previous registrations. She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 26, 2010; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on August 9, 2010. She is a registered broker with nine US states and territories: Arizona, California, Georgia, Hawaii, Illinois, Missouri, Oregon, Pennsylvania, and Texas.

According to his BrokerCheck report, she has received one customer complaint.

Scott NiekampPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that Missouri-based Northwestern Mutual Investment Services broker/adviser Scott Niekamp has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Niekamp (CRD# 3277810).

Scott Niekamp has spent 17 years in the securities industry and has been registered with Northwestern Mutual Investment Services in Chesterfield, Missouri since 2000. He has no previous registrations. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 28, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 17, 2001; Series 7 (General Securities Representative Examination), which he obtained on March 27, 2003; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 23, 2000. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Kentucky, Massachusetts, Minnesota, Missouri, Nevada, Oklahoma, Tennessee, Texas, and Wisconsin.

According to his BrokerCheck report, he has received two pending customer complaints.

calvin finn 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.

Sampson Pearson

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that former North Carolina-based Northwestern Mutual Investment Services broker Sampson Pearson has been named in a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sampson (CRD# 4159298).

Sampson Pearson has spent 16 years in the securities industry and was most recently registered with Northwestern Mutual Investment Services in Charlotte, North Carolina (2001-2017). Previous registrations include Robert W. Baird & Company in Milwaukee, Wisconsin (2001-2002) and Jefferson Pilot Securities Corporation in Fort Wayne, Indiana (2000-2001). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Sampson Pearson has received one pending customer complaint and one unsatisfied judgment or lien.

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