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Ann Marie rochford Desroches

Northwestern Mutual Investment Services, LLC

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About Ann Marie rochford Desroches

Ann Marie Rochford Desroches is a financial advisor with Northwestern Mutual Investment Services, LLC. Ann has been in the financial services industry since 2000. Ann is registered with the state of Minnesota and holds Series 7, 63, and 66 licenses. Ann has been with Northwestern Mutual since 2007, and prior to that, worked at UBS PaineWebber, Inc. and Wells Fargo Investments, LLC. Ann provides investment research and referrals to other advisors.

Firm Information

Ann Desroches 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

701 Xenia Ave S Ste 600

Golden Valley, MN 55416

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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Ann Desroches’s Registration & Firm History

MN

11/04/2013 - Present

Northwestern Mutual Investment Services, LLC (Golden Valley MN)

NJ

05/14/2001 - 08/13/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

CA

12/13/2000 - 05/04/2001

WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)

MN

01/29/2001 - 04/29/2001

WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)

MN

03/17/2000 - 12/13/2000

WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 6/13/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/20/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/14/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ann Marie rochford Desroches.
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