Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Philip Shaffer is a financial professional registered with Northwestern Mutual Investment Services, LLC. Brock has been in the industry since 2013 and is licensed in 27 states. Brock holds a Series 6, Series 26, and Series 63 license. Northwestern Mutual Investment Services, LLC provides investment advisory services to individuals and other clients.
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
KS
03/06/2013 - Present
Northwestern Mutual Investment Services, LLC (Olathe KS)
BC
Issued 12/28/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/26/2018
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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