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Candace Helene Berkman

Northwestern Mutual Investment Services, LLC

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About Candace Helene Berkman

Candace Helene Berkman is an investment advisor representative with Northwestern Mutual Investment Services, LLC. Candace has been in the industry since 1999 and has a Series 6, Series 63, and Series 65 license. Candace is registered in multiple states and has experience working with clients across a variety of financial needs. Candace is based out of the San Diego office of Northwestern Mutual Investment Services, LLC, and is committed to providing personalized advice and guidance to help clients reach their financial goals.

Firm Information

Candace Berkman 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

655 W Broadway Ste 1700

SAN DIEGO, CA 92101

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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Candace Berkman’s Registration & Firm History

CA

09/08/2015 - Present

Northwestern Mutual Investment Services, LLC (SAN DIEGO CA)

WI

06/30/1999 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

IA

Issued 9/4/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/19/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/29/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 6 public disclosures for Candace Helene Berkman. Review regulatory record here.
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