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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 advisor who has been in the industry since March 2015. Alexis is currently registered with Northwestern Mutual Investment Services, LLC in Coral Gables, FL. Before joining Northwestern Mutual, Alexis worked at Fidelity Brokerage Services LLC, PlanMember Securities Corporation, Lord Abbett Distributor LLC, and AXA Advisors, LLC. Alexis holds Series 7, Series 63, Series 65, and SIE licenses. Alexis also holds the designation Certified Financial Planner™.

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 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

201 ALHAMBRA CIRCLE

CORAL GABLES, FL 33134

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 4/22/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 9/19/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 9/12/2017

SIE - Securities Industry Essentials Examination

BC

Issued 8/1/2013

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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