Raymond Courtney Torres Salas is currently employed as a Broker and/or Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at 201 International Cir, Ste 100, Hunt Valley, MD, 21030.
Raymond Courtney Torres Salas has worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC since June 18, 2015
Disclosure History
Raymond Courtney Torres Salas has 2 Disclosure Event(s).
Date: April 20, 2016 Category: Regulatory Initiated By: State of California Department of Insurance Allegations: Representative failed to disclose criminal history. Per the representative this was an oversight. Resolution: Order Accepting Withdrawal of License Application and Dismissing Statement of Issues Sanctions: No sanctions ordered. Broker Comment: Representative submitted additional evidence & requested reconsideration which was granted & Summary Denial Order (SDO) vacated 7/7/16. Representative requested application withdrawal 11/7/16 per understanding with CA Ins. Dept. that it will withdraw SDO, pending hearing will be Dismissed & representative may reapply any-time & fully include prior conviction/s. Refer to 11/9/16 Order.
Date: August 22, 2003 Category: Criminal Charges: POSSESSION WITH INTENT TO DISTRIBUTE Disposition: Convicted
More Information
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