Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Colin? Claim Your ProfileColin Christopher Smith is a registered representative with Northwestern Mutual Investment Services, LLC. Colin has been in the financial services industry since October 2010 and holds a Series 66, Series 9, Series 10, Series 7 and SIE license. Colin is registered to conduct business in Alabama, Arizona, California, Connecticut, Florida, Indiana, Maine, Maryland, New Jersey, New York, North Carolina, Ohio, South Carolina, Texas and Virginia.
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
VA
10/06/2010 - Present
Northwestern Mutual Investment Services, LLC (Richmond VA)
BOTH
Issued 11/15/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/08/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/24/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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