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Ellen Nichole Alderson

Northwestern Mutual Investment Services, LLC

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About Ellen Nichole Alderson

Firm Information

Ellen Alderson 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

1201 Edwards Mill Rd

Raleigh, NC 27607

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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Ellen Alderson’s Registration & Firm History

NC

11/13/2023 - Present

Northwestern Mutual Investment Services, LLC (Raleigh NC)

VA

09/09/2022 - 04/27/2023

RAYMOND JAMES FINANCIAL SERVICES, INC. (Gretna VA)

NC

04/29/2022 - 08/16/2022

RBC CAPITAL MARKETS, LLC (RALEIGH NC)

NC

02/23/2021 - 04/25/2022

OPEN TO THE PUBLIC INVESTING, INC. (Durham NC)

NC

02/20/2019 - 02/10/2021

FIRST CITIZENS INVESTOR SERVICES, INC. (RALEIGH NC)

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Licenses & Designations

BC

Issued 3/15/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 2/20/2019

Series 7TO - General Securities Representative Examination

BC

Issued 12/8/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Ellen Nichole Alderson. Review regulatory record here.
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