Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Rotman is an investment advisor representative at Northwestern Mutual Investment Services, LLC. Catherine has been in the industry since 2017 and holds the Series 63, Series 65, Series 7TO and the SIE exams. Catherine is registered to conduct business in 29 states, including Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Illinois, Indiana, Kentucky, Maine, Massachusetts, Michigan, Minnesota, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Rhode Island, South Carolina, Texas, Utah, Vermont, Virginia, Washington and Wisconsin.
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
MA
02/05/2019 - Present
Northwestern Mutual Investment Services, LLC (BOSTON MA)
BC
Issued 02/19/2019
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/28/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/04/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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