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David Paul Rasak

Northwestern Mutual Investment Services, LLC

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About David Paul Rasak

David Paul Rasak is a financial advisor affiliated with Northwestern Mutual Investment Services, LLC, based in Honolulu, HI. David has been in the financial industry since 2013 and holds multiple licenses and certifications, including Series 6, 7TO, 63 and 65. David's areas of expertise include investment research, referrals to other advisors and insurance products. David has registration(s) in 19 states. David is licensed to provide financial advice to individuals, corporations, and other businesses. In addition to working with Northwestern Mutual, David also earns commissions from insurance companies not affiliated with Northwestern Mutual.

Firm Information

David Rasak 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

737 Bishop St Ste 1700

HONOLULU, HI 96813

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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David Rasak’s Registration & Firm History

HI

02/27/2015 - Present

Northwestern Mutual Investment Services, LLC (HONOLULU HI)

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Licenses & Designations

IA

Issued 2/25/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 4/9/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 5/10/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 3/11/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for David Paul Rasak. Review regulatory record here.
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