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Home » Broker Blog » State of Wisconsin Revokes Aubrey Dodd’s Insurance License

State of Wisconsin Revokes Aubrey Dodd’s Insurance License

Aubrey Dodd (CRD #: 7272952), a broker registered with Northwestern Mutual Investment Services, was recently the subject of a state regulatory action, according to her BrokerCheck record, accessed on March 7, 2023. If you have questions about her alleged conduct as a broker, keep reading.

Wisconsin Regulatory Action

On December 21, 2022, the Wisconsin Office of the Commissioner of Insurance revoked Aubrey Dodd’s insurance license, alleging that she failed to pay delinquent taxes in the state.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. 

Civil Lien

On February 24, 2016, Aubrey Dodd was subject to a civil lien of $4,871.30.

Background Information

Aubrey Dodd has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6TO – Investment Company Products/Variable Contracts Representative Examination

Aubrey Dodd is a registered broker in Wisconsin.

Kurta Law Can Help

If you worked with Aubrey Dodd and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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