Financial Advisor Reno Nevada
https://adviserinfo.sec.gov/individual/summary/3274329
Northwestern
Mutual - Ronette R Santos CFP
200 S Virginia St
Suite 550 S
Reno, NV 89501
Business phone
( 775) 391-3682
IAPD offers information on all current-and many former representatives. Investors are strongly encouraged to use
IAPD to check the background of representatives before deciding to conduct, or continue to conduct, business with
them.
What is included in a IAPD report?
IAPD reports for individual representatives include information such as employment history, professional
qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards.
It is important to note that the information contained in an IAPD report may include pending actions or allegations
that may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favor of
the representative, or concluded through a negotiated settlement with no admission or finding of wrongdoing.
Where did this information come from?
The information contained in IAPD comes from the Investment Adviser Registration Depository (IARD) and
FINRA's Central Registration Depository, or CRD, (see more on CRD below) and is a combination of:
· information the states require representatives and firms to submit as part of the registration and licensing
process, and
· information that state regulators report regarding disciplinary actions or allegations against
representatives.
How current is this information?
Generally, representatives are required to update their professional and disciplinary information in IARD within 30
days.
Need help
interpreting this report?
For help understanding how to read this report, please consult NASAA's IAPD Tips page
http://www.nasaa.org/IAPD/IARReports.cfm
What if I want to check the background of an
Individual Broker or Brokerage Firm?
To check the background of an Individual Broker or Brokerage firm, you can search for the firm or individual in
IAPD. If your search is successful, click on the link provided to view the available licensing and registration
information in FINRA's BrokerCheck website.
Are there other resources I can use to check the
background of investment professionals?
It is recommended that you learn as much as possible about an individual representative or Investment Adviser
firm before deciding to work with them. Your state securities regulator can help you research individuals and
certain firms doing business in your state. The contact information for state securities regulators can be found on
the website of the North American Securities Administrators Association http://www.nasaa.org
User Guidance
www.adviserinfo.sec.gov
https://www.northwesternmutual.com/financial/advisor/ronette-santos/
https://files.brokercheck.finra.org/individual/individual_3274329.pdf
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