linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Carol Anne Bates

Northwestern Mutual Investment Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Carol? Claim Your Profile

About Carol Anne Bates

Carol Bates is a financial advisor at Northwestern Mutual Investment Services, LLC with over 15 years of experience in the financial industry. Carol has a wide range of experience with firms such as UBS Financial Services Inc., Wells Fargo Advisors, LLC and Mutual Securities, Inc. Carol is registered to provide securities related services in Arizona, California, Florida, Hawaii, Illinois, Massachusetts, Nevada, New Jersey, North Carolina, Pennsylvania, Texas, Utah, Virginia, and Washington. Carol has earned the Certified Financial Planner designation.

Firm Information

Carol Bates 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.

check

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Referral fees

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Carol Bates’s Registration & Firm History

CA

10/02/2024 - Present

Northwestern Mutual Investment Services, LLC (Manhattan Bch CA)

CA

02/12/2016 - 09/23/2019

PURSHE KAPLAN STERLING INVESTMENTS (Avila Beach CA)

CA

11/12/2012 - 01/04/2016

MUTUAL SECURITIES, INC. (AVILA BEACH CA)

CA

03/23/2009 - 11/15/2012

WELLS FARGO ADVISORS, LLC (SAN LUIS OBISPO CA)

CA

06/13/2008 - 04/02/2009

UBS FINANCIAL SERVICES INC. (CARMEL CA)

Not sure if Carol Anne Bates is right for you?

Licenses & Designations

BOTH

Issued 11/24/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/18/2013

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/12/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol Anne Bates.
Not sure if Carol Anne Bates is right for you?