Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashley? Claim Your ProfileAshley Nichole Smith is a registered representative with Northwestern Mutual Investment Services, LLC. Ashley has been in the financial services industry since 2014 and has a Series 7, Series 66, and SIE license. Ashley holds an active registration in Kentucky. Northwestern Mutual Investment Services, LLC is a registered investment advisor with the Securities and Exchange Commission (SEC). The firm provides investment advisory services, including investment research, referrals to other advisors, and portfolio management for individuals.
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
KY
11/19/2014 - Present
Northwestern Mutual Investment Services, LLC (LEXINGTON KY)
BOTH
Issued 03/19/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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