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Claude W Smith

Northwestern Mutual Investment Services, LLC

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About Claude W Smith

Claude Smith is a financial advisor registered with Northwestern Mutual Investment Services, LLC and has been in the industry for 10 years. Claude is registered in 27 states and has Series 6, 7, 63, and 66 licenses as well as the SIE exam. Claude specializes in investment property ownership and has a strong track record of success in helping clients reach their financial goals. Claude’s firm provides investment research and referrals to other advisors and Claude can work with clients to develop a customized financial plan that meets their individual needs. Claude is also an insurance agent and may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products.

Firm Information

Claude Smith 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

1276 N 15TH AVE STE 202

BOZEMAN, MT 59715

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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Claude Smith’s Registration & Firm History

MT

11/25/2015 - Present

Northwestern Mutual Investment Services, LLC (BOZEMAN MT)

WI

04/06/2005 - 08/16/2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 11/23/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 4/8/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/16/2015

Series 7 - General Securities Representative Examination

BC

Issued 4/5/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Claude W Smith.
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