Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Baker is a registered representative associated with Northwestern Mutual Investment Services, LLC, a firm based in Milwaukee, WI. Caroline has obtained her Series 7TO, Series 63 and SIE licenses and is currently registered in Louisiana and Texas. Caroline has been in the financial industry since October 11, 2023. Caroline's office is located in Dallas, TX.
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
TX
10/12/2023 - Present
Northwestern Mutual Investment Services, LLC (DALLAS TX)
BC
Issued 11/13/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2023
Series 7TO - General Securities Representative Examination
BC
Issued 12/12/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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