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Carol Ann Rappaport

Northwestern Mutual Investment Services, LLC

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About Carol Ann Rappaport

Carol Ann Rappaport has been a registered representative in the securities industry since December 1983. Carol Ann is currently associated with Northwestern Mutual Investment Services, LLC and has been registered with the firm since December 1983. She has previously worked at ROBERT W. BAIRD & CO. INCORPORATED. Carol Ann has a history of success in the financial services industry and is committed to providing her clients with personalized investment advice and guidance. Carol Ann is licensed to sell securities in Connecticut, Florida, Massachusetts, New Jersey and New York.

Firm Information

Carol Rappaport 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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Carol Rappaport’s Registration & Firm History

NY

12/12/1983 - Present

Northwestern Mutual Investment Services, LLC (Albany NY)

WI

09/04/1986 - 01/01/2002

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

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Licenses & Designations

IA

Issued 03/15/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/06/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/1987

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 12/03/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol Ann Rappaport.
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