Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alyson? Claim Your ProfileAlyson Lancaster Frantz is a registered representative with Northwestern Mutual Investment Services, LLC. Alyson has been working in the financial services industry since 2012. She has experience with both individual and institutional investors. Alyson holds Series 7 and 66 securities licenses. Prior to joining Northwestern Mutual, Alyson worked at First Allied Securities, Inc. and RBC Capital Markets, LLC.
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
IN
11/04/2020 - Present
Northwestern Mutual Investment Services, LLC (Indianapolis IN)
IN
04/19/2018 - 09/23/2020
FIRST ALLIED SECURITIES, INC. (INDIANAPOLIS IN)
IN
10/28/2014 - 12/22/2016
RBC CAPITAL MARKETS, LLC (INDIANAPOLIS IN)
IN
10/06/2010 - 10/29/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIANAPOLIS IN)
BOTH
Issued 11/15/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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