Northwestern Mutual Investment Services,LLC

CRD#2881
Investment Advisor Firm

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Overview

Northwestern Mutual Investment Services,LLC is a financial advisory firm that has its headquarters in Milwaukee, Wisconsin. It has a very large group, including 0 financial advisor. Northwestern Mutual Investment Services,LLC is not a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its own accounts as well as its customers' and instead is required to go through a broker-dealer company to do so. Securities are defined as exchangable fiscal investments such as options, equities and bonds.



The company's headquarters is at 720 East Wisconsin Avenue, Milwaukee, Wisconsin 53202-4797. The company is legally allowed to serve customers throughout 50 U.S. states and territories.

Editorial note: Under some conditions, advisors and firms are able to file as exempt reporting advisors with the SEC, meaning they file an abbreviated version of the Form ADV. As a result, this is all of the available information for Northwestern Mutual Investment Services,LLC. Please visit the SEC website for more information at https://www.sec.gov

Disclosures

No

Office Location

720 East Wisconsin Avenue
Milwaukee, WI 53202-4797

Northwestern Mutual Investment Services,LLC by the Numbers

Total Number of Employees

2,125

National Average: 64
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Fee Structure

Financial advisory fees largely vary depending on the type of services provided. Fees charged by the company likely include the following fee types: fixed or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by Northwestern Mutual Investment Services,LLC.

Available

  • Offered by 32% of firms

    Fixed

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    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Offered by 10% of firms

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Unavailable

  • Find one of the 69% of firms that offer this fee type

    Percentage of Assets

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    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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Types of Clients

Northwestern Mutual Investment Services,LLC works with banking institutions. Northwestern Mutual Investment Services,LLC's largest client is banking institutions. None of the firm's customers are non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Northwestern Mutual Investment Services,LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Northwestern Mutual Investment Services,LLC

Garrick Legault
Wilbraham, MA
Petio Neykov
Chicago, IL
Sandeep Gupta
Manhattan Beach, CA
Christopher Brennan
Boston, MA
Dawn Hansen
Chesterfield, MO
Thomas Powers
Vernon Hills, IL
Ryan Dix
Mishawaka, IN
Christopher Preston
Vernon Hills, IL
John Rhett
Atlanta, GA

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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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