Thomas Zach, financial advisor Cedar Rapids IA
73 score

Thomas Zach

CRD Number: 1960272
Current Firm: Northwestern Mutual Investment Services,llc

Thomas Zach (CRD# 1960272) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Cedar Rapids, IA and has over 23 years of experience in the finance industry.

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Company Name Location Dates Years
Northwestern Mutual Wealth Management Company Milwaukee, WI Jan 2016 - Current < 1
Northwestern Mutual Wealth Management Company Milwaukee, WI Dec 2015 - Current 1
Northwestern Mutual Investment Services, LLC Milwaukee, WI Sep 1994 - Current 22
Northwestern Mutual Life Ins. Co Milwaukee, WI Aug 1994 - Current 22
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1993
S65 NASAA Investment Advisors Law Examination Dec 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Thomas S. Zach
Phone Number: 866-664-7737
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
73

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