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Barbara A Bertrand

Northwestern Mutual Investment Services, LLC

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About Barbara A Bertrand

Barbara Bertrand is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Barbara has been working in the financial services industry since 2001. Barbara has passed the Series 6, 7, 63, and 65 exams. Barbara is currently registered in Connecticut, Florida, Maryland, Massachusetts, New Jersey, New York, and Vermont. Prior to joining Northwestern Mutual Investment Services, LLC, Barbara worked at Royal Alliance Associates, Inc. and Signator Investors, Inc.

Firm Information

Barbara Bertrand is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

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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Barbara Bertrand’s Registration & Firm History

NY

09/27/2019 - Present

Northwestern Mutual Investment Services, LLC (SARATOGA SPRGS NY)

NY

11/02/2018 - 09/05/2019

ROYAL ALLIANCE ASSOCIATES, INC. (ALBANY NY)

NY

06/12/2015 - 11/02/2018

SIGNATOR INVESTORS, INC. (ALBANY NY)

NY

08/27/2010 - 06/09/2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LATHAM NY)

NY

03/05/2009 - 06/25/2010

PRINCOR FINANCIAL SERVICES CORPORATION (ALBANY NY)

NY

08/13/2001 - 06/24/2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LATHAM NY)

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Licenses & Designations

IA

Issued 10/22/2018

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/12/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/19/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/09/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Barbara A Bertrand.
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