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Douglas Charles Mogck

Northwestern Mutual Investment Services, LLC

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About Douglas Charles Mogck

Douglas Mogck is an Investment Advisor Representative with Northwestern Mutual Investment Services, LLC. Douglas has over 40 years of experience in the securities industry. Douglas is registered with the state of Indiana as an Investment Advisor Representative. Douglas is also a Series 6, 7, 12, 63, and 66 registered representative. Douglas is affiliated with Northwestern Mutual Investment Services, LLC and has been in the financial services industry for over 40 years.

Firm Information

Douglas Mogck is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

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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Douglas Mogck’s Registration & Firm History

IN

04/19/2005 - Present

Northwestern Mutual Investment Services, LLC (VALPARAISO IN)

WI

02/05/1993 - 10/17/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

WI

01/03/1985 - 04/04/2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

NA

08/30/1982 - 11/14/1984

PRUCO SECURITIES CORPORATION

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Licenses & Designations

BOTH

Issued 02/18/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/23/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/25/1997

Series 12 - NYSE Branch Manager Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/28/1999

Series 7 - General Securities Representative Examination

BC

Issued 08/27/1982

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Charles Mogck.
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