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Domenick Alphonse Giudice

Northwestern Mutual Investment Services, LLC

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About Domenick Alphonse Giudice

Firm Information

Domenick Giudice 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

1 ELIOT PLACE

FAIRFIELD, CT 06824

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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Domenick Giudice’s Registration & Firm History

CT

06/28/2023 - Present

Northwestern Mutual Investment Services, LLC (FAIRFIELD CT)

CT

01/24/2023 - 04/24/2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Norwalk CT)

NY

07/29/2021 - 10/06/2021

HOLD BROTHERS CAPITAL LLC (NEW YORK NY)

NY

04/15/2020 - 06/08/2021

HOLD BROTHERS CAPITAL LLC (NEW YORK NY)

CT

09/30/2014 - 07/31/2019

AMG DISTRIBUTORS, INC. (Stamford CT)

CT

02/16/2000 - 10/06/2014

TWEEDY, BROWNE COMPANY LLC (STAMFORD CT)

NY

10/14/1998 - 01/27/2000

ON-SITE TRADING, INC. (GREAT NECK NY)

NY

07/10/1998 - 09/01/1998

AUDOBON SECURITIES, INC. (NEW YORK NY)

NY

09/09/1996 - 01/06/1997

PRIME CHARTER LTD. (NEW YORK NY)

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Licenses & Designations

BC

Issued 3/6/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/2/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/12/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 9/6/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Domenick Alphonse Giudice.
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