Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claude? Claim Your ProfileClaude Smith is a registered representative with Northwestern Mutual Investment Services, LLC. Claude has 18 years of experience in the securities industry and is registered in 27 states. Claude specializes in investment research, referrals to other advisors, and providing investment advice to individuals. Claude is committed to helping clients achieve their financial goals and is dedicated to providing personalized financial advice.
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
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)
BOTH
Issued 11/23/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/08/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2015
Series 7 - General Securities Representative Examination
BC
Issued 04/05/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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