Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Chan is a financial professional with Northwestern Mutual Investment Services, LLC. Alex has been in the financial industry since November 29, 2020, and has held licenses in Texas, California, Colorado, Connecticut, District of Columbia, Georgia, Illinois, Louisiana, Michigan, Mississippi, Missouri, Nebraska, Ohio, South Carolina, Tennessee, and Virginia. Alex holds the Series 63, Series 6TO, and SIE licenses. Alex’s firm, Northwestern Mutual Investment Services, LLC, has a main office in Milwaukee, WI, and has 2181 licensed agents, 2341 Investment Adviser Representatives, and 2399 registered representatives. Northwestern Mutual Investment Services, LLC, focuses on providing investment services to banking or thrift institutions, with a total of 1 client and $0 in assets under management.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Investment research; referrals to other advisers
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
TX
11/30/2020 - Present
Northwestern Mutual Investment Services, LLC (ALLEN TX)
BC
Issued 04/22/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2020
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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