Thomas Stafford, financial advisor West Chester OH
81 score

Thomas Stafford

CRD Number: 4542958
Current Firm: Northwestern Mutual Investment Services,llc

Thomas Stafford (CRD# 4542958) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in West Chester, OH and has over 11 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 Investment Services, LLC Dayton, OH Jun 2002 - Current 14
Northwestern Mutual Life Insurance Company Milwaukee, WI Mar 2002 - Current 14
Northwesternmutual Investment Services, LLC West Chester, OH Jan 2011 - Mar 2016 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2004
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:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Thomas M. Stafford
Phone Number: 866-664-7737
Registered State(s):
  • OH
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
81

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