Best Investors Account Sign in

Terrance David Lumpkins

Northwestern Mutual Investment Services, LLC

Upper Arlington, OH

Claim This Profile
Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2012-03-05
  • OH RA
    APPROVED
    Since 2012-03-05

Branch Locations

1349 W Lane Ave Ste 1200, Upper Arlington, OH 43221 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 09/2003 Present
Northwestern Mutual Investment Services, Llc Columbus OH 09/2003 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 09/2003 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 09/2003 → Present
    Northwestern Mutual Investment Services, Llc
    Columbus, OH
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-02-27
S63 Uniform Securities Agent State Law Examination 2006-08-19
  • S65 Uniform Investment Adviser Law Examination
    2012-02-27
  • S63 Uniform Securities Agent State Law Examination
    2006-08-19
Other Names
  • Terrence D Lumpkins
  • Terrance D Lumpkins

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
FIFTH THIRD SECURITIES, INC.
LPL FINANCIAL LLC
U.S. BANCORP ADVISORS, LLC
ALEXANDER FINANCIAL PLANNING, INC.
DEMERS FINANCIAL PLANNING
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES

Other Investors

Scott F Scharfenberger
Christopher T. Rhorer
Benjamin Cross
Matthew Hanuska
Samuel George Messerly
RAKESH K SINGH
SEAN M HANNIGAN
KYLE ANDREW MAWHORR

Other Offices

J.P. MORGAN SECURITIES LLC · Upper Arlington, OH
FIFTH THIRD SECURITIES, INC. · COLUMBUS, OH
LPL FINANCIAL LLC · UPPER ARLINGTON, OH
U.S. BANCORP ADVISORS, LLC · Columbus, OH
ALEXANDER FINANCIAL PLANNING, INC. · COLUMBUS, OH
DEMERS FINANCIAL PLANNING · COLUMBUS, OH
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Columbus+, OH
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Columbus, OH

More in Upper Arlington, OH

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor