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Dominic Schultz Boggio

Northwestern Mutual Investment Services, LLC

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About Dominic Schultz Boggio

Dominic Schultz Boggio is a registered investment advisor representative at Northwestern Mutual Investment Services, LLC. Dominic is licensed in Minnesota, and has been working in the financial services industry since 2019. Dominic has experience working with clients at a variety of financial institutions, including RBC Capital Markets, LLC, E*TRADE Securities LLC and Morgan Stanley. Dominic holds the Series 66, Series 7TO and SIE exams.

Firm Information

Dominic Boggio 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

5201 EDEN AVE Ste 200

EDINA, MN 55436

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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Dominic Boggio’s Registration & Firm History

MN

02/13/2024 - Present

Northwestern Mutual Investment Services, LLC (EDINA MN)

MN

01/11/2023 - 12/22/2023

MORGAN STANLEY (BLOOMINGTON MN)

MN

03/09/2022 - 09/05/2023

E*TRADE SECURITIES LLC (BLOOMINGTON MN)

MN

09/07/2019 - 02/09/2022

RBC CAPITAL MARKETS, LLC (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 12/14/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 9/7/2019

Series 7TO - General Securities Representative Examination

BC

Issued 4/13/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dominic Schultz Boggio.
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