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Andrew David Rubin

Northwestern Mutual Investment Services, LLC

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About Andrew David Rubin

Andrew Rubin is a financial advisor with Northwestern Mutual Investment Services, LLC. Andrew has been in the industry since 2001 and is registered with the state of California as an Investment Advisor Representative. Andrew holds the Series 6, 7, 26 and 66 securities licenses. Andrew is also a Chartered Financial Consultant. In addition to his work as a financial advisor, Andrew is also the 100% owner of Underwater Excursions, a non-financial services business. Andrew is a scuba diving instructor.

Firm Information

Andrew Rubin 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

5780 Fleet St Ste 200

CARLSBAD, CA 92008

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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Andrew Rubin’s Registration & Firm History

CA

08/11/2020 - Present

Northwestern Mutual Investment Services, LLC (CARLSBAD CA)

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Licenses & Designations

BOTH

Issued 8/13/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 8/14/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 2/9/2009

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/23/2004

Series 7 - General Securities Representative Examination

BC

Issued 11/8/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew David Rubin.
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