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Catherine Elizabeth Massie

Northwestern Mutual Investment Services, LLC

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About Catherine Elizabeth Massie

Catherine Elizabeth Massie is a financial advisor at Northwestern Mutual Investment Services, LLC with over 20 years of experience in the financial services industry. She has been registered with the firm since 2011 and also has previous experience with Thrivent Investment Management Inc. and AAL Capital Management Corporation. Catherine holds Series 7, 24, 26, 63, and 65 licenses and is registered in Wisconsin as a broker-dealer and investment advisor representative.

Firm Information

Catherine Massie 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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Catherine Massie’s Registration & Firm History

WI

09/19/2011 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

WI

07/31/2002 - 07/20/2011

THRIVENT INVESTMENT MANAGEMENT INC. (WAUKESHA WI)

WI

04/03/2001 - 07/31/2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

MN

03/09/1999 - 03/15/2001

AAL CAPITAL MANAGEMENT CORPORATION (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 09/17/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/09/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/30/1999

Series 24 - General Securities Principal Examination

BC

Issued 06/24/1999

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/08/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Catherine Elizabeth Massie.
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