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Chad Woodruff Di stefano

Northwestern Mutual Investment Services, LLC

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About Chad Woodruff Di stefano

Chad Woodruff Di Stefano is a financial advisor currently registered with Northwestern Mutual Investment Services, LLC and located in Salt Lake City, Utah. Chad has been active in the financial industry since 2014 and is registered with the state of Utah. Chad has earned the Certified Financial Planner designation and holds Series 7, 79, 63, and 65 securities licenses, as well as the SIE exam. Prior to joining Northwestern Mutual Investment Services, LLC Chad has held positions with Goldman, Sachs & Co., and Macquarie Securities (USA) Inc.

Firm Information

Chad Di stefano is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

111 EAST BROADWAY

SALT LAKE CTY, UT 84111-5260

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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Chad Di stefano’s Registration & Firm History

UT

07/22/2024 - Present

Northwestern Mutual Investment Services, LLC (SALT LAKE CTY UT)

NY

08/30/2010 - 04/21/2014

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

03/17/2005 - 02/03/2006

MACQUARIE SECURITIES (USA) INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 7/29/2024

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 12/30/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 7/16/2024

Series 7TO - General Securities Representative Examination

BC

Issued 5/10/2024

SIE - Securities Industry Essentials Examination

BC

Issued 8/28/2010

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 3/16/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Chad Woodruff Di stefano.
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