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Amy Kathleen Placek

Northwestern Mutual Investment Services, LLC

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About Amy Kathleen Placek

Amy Placek is a financial advisor at Northwestern Mutual Investment Services, LLC, and has been in the industry since September 27, 2010. Amy has passed the Series 7, Series 66, Series 9, Series 10, Series 99TO and SIE exams and holds licenses in Arizona and Illinois. Amy's registration as an Investment Adviser Representative (IAR) is active in Illinois.

Firm Information

Amy Placek 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

9550 W Higgins Rd

Rosemont, IL 60018

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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Amy Placek’s Registration & Firm History

IL

12/21/2010 - Present

Northwestern Mutual Investment Services, LLC (Rosemont IL)

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Licenses & Designations

BOTH

Issued 12/20/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/22/2011

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/23/2011

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/27/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Amy Kathleen Placek.
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