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Andrew J Stumbo

Northwestern Mutual Investment Services, LLC

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About Andrew J Stumbo

Andrew J Stumbo is a registered representative with Northwestern Mutual Investment Services, LLC and has been in the industry since August 2013. Andrew is licensed in Iowa and has been with Northwestern Mutual Investment Services, LLC since March 2017. Before joining Northwestern Mutual Investment Services, LLC, Andrew worked for RBC CAPITAL MARKETS, LLC in Clive, IA. Andrew is licensed to provide securities advice and investment recommendations.

Firm Information

Andrew Stumbo 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

1810 SW Plaza Shops Ln

Ankeny, IA 50023

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 Stumbo’s Registration & Firm History

IA

03/09/2017 - Present

Northwestern Mutual Investment Services, LLC (Ankeny IA)

IA

08/06/2013 - 02/16/2017

RBC CAPITAL MARKETS, LLC (CLIVE IA)

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Licenses & Designations

BOTH

Issued 9/16/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/5/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew J Stumbo.
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