Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Serafino is a registered representative with Northwestern Mutual Investment Services, LLC, with over 20 years of experience in the financial services industry. Carl has Series 6, 7, and 63 licenses and holds a SIE designation. Carl's registration with the firm started in 2002. Carl is registered in 11 states and provides a wide range of financial products and services to individuals and families.
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
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2
NY
09/12/2002 - Present
Northwestern Mutual Investment Services, LLC (Garden City NY)
BC
Issued 09/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2004
Series 7 - General Securities Representative Examination
BC
Issued 09/10/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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