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Alyson Lancaster Frantz

Northwestern Mutual Investment Services, LLC

Indianapolis, IN

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2020-11-04
  • IN RA
    APPROVED
    Since 2020-11-04

Branch Locations

600 E 96Th St Ste 100, Indianapolis, IN 46240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Indianapolis IN 10/2014 12/2016
First Allied Securities, Inc. San Diego CA 04/2018 09/2020
First Allied Advisory Services San Diego CA 04/2018 09/2020
Northwestern Mutual Investment Services, Llc Indianapolis IN 10/2020 Present
Rae Duncan Interior Design Chicago IL 03/2017 04/2018
Michael Mcginley Indianapolis IN 09/2020 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2020 Present
  • 10/2014 → 12/2016
    Rbc Capital Markets, Llc
    Indianapolis, IN
  • 04/2018 → 09/2020
    First Allied Securities, Inc.
    San Diego, CA
  • 04/2018 → 09/2020
    First Allied Advisory Services
    San Diego, CA
  • 10/2020 → Present
    Northwestern Mutual Investment Services, Llc
    Indianapolis, IN
  • 03/2017 → 04/2018
    Rae Duncan Interior Design
    Chicago, IL
  • 09/2020 → Present
    Michael Mcginley
    Indianapolis, IN
  • 11/2020 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-15
  • S66 Uniform Combined State Law Examination
    2011-11-15
Other Names
  • Aly Frantz
  • Alyson Frantz
  • Aly L Frantz
  • Alyson L Frantz

View on SEC IAPD

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NORTHWEST FINANCIAL SERVICES INC
INVESTMENT ADVISORS OF INDIANAPOLIS INC
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CRF FINANCIAL GROUP
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Other Offices

SANCTUARY ADVISORS, LLC · Indianapolis, IN
SANCTUARY ADVISORS, LLC · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
NORTHWEST FINANCIAL SERVICES INC · INDIANAPOLIS, IN
NORTHWEST FINANCIAL SERVICES INC · Indianapolis, IN
INVESTMENT ADVISORS OF INDIANAPOLIS INC · INDIANAPOLIS, IN
BAXTER CAPITAL MANAGEMENT INC · INDIANAPOLIS, IN

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