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Benjamin Uphoff

Northwestern Mutual Investment Services, LLC

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About Benjamin Uphoff

Benjamin Uphoff is a financial advisor associated with Northwestern Mutual Investment Services, LLC. Benjamin is a registered representative in Minnesota, Ohio, and Wisconsin, and also an Investment Advisor Representative in Minnesota. Benjamin is actively registered with FINRA and has been in the securities industry since September 13, 2017. Prior to joining Northwestern Mutual Investment Services, LLC, Benjamin was associated with Thrivent Investment Management Inc.

Firm Information

Benjamin Uphoff 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

1191 NORTHLAND DR

MENDOTA HTS, MN 55120

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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Benjamin Uphoff’s Registration & Firm History

MN

10/06/2021 - Present

Northwestern Mutual Investment Services, LLC (MENDOTA HTS MN)

WI

08/02/2017 - 09/25/2019

THRIVENT INVESTMENT MANAGEMENT INC. (ELM GROVE WI)

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Licenses & Designations

IA

Issued 7/31/2018

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 7/15/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/2/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Benjamin Uphoff.
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