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Alexis E Rodriguez

Northwestern Mutual Investment Services, LLC

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About Alexis E Rodriguez

Alexis Rodriguez is a financial professional with a strong track record of success in the financial services industry. Alexis holds a Series 7, Series 63, and Series 65 licenses and is a Certified Financial Planner. Alexis has experience working with a variety of clients, including individuals, businesses, and institutions. Alexis is currently registered with Northwestern Mutual Investment Services, LLC. Previously, Alexis worked with Fidelity Brokerage Services LLC, PlanMember Securities Corporation, Lord Abbett Distributor LLC, and AXA Advisors, LLC. Alexis provides investment research, referrals to other advisors, and financial planning services.

Firm Information

Alexis Rodriguez is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Alexis Rodriguez’s Registration & Firm History

FL

09/21/2023 - Present

Northwestern Mutual Investment Services, LLC (CORAL GABLES FL)

NY

03/11/2021 - 05/18/2023

FIDELITY BROKERAGE SERVICES LLC (NANUET NY)

NY

12/11/2018 - 02/12/2021

PLANMEMBER SECURITIES CORPORATION (IRVINGTON NY)

NJ

12/16/2015 - 09/12/2017

LORD ABBETT DISTRIBUTOR LLC (JERSEY CITY NJ)

NY

08/01/2013 - 12/14/2015

AXA ADVISORS, LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 04/22/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/19/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/12/2017

SIE - Securities Industry Essentials Examination

BC

Issued 08/01/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alexis E Rodriguez.
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