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Emily Anne harker Smith

Northwestern Mutual Investment Services, LLC

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About Emily Anne harker Smith

Emily Anne harker Smith is an investment advisor representative with Northwestern Mutual Investment Services, LLC based in Williamsburg, Virginia. Emily is a registered investment advisor representative and has been in the industry since September 5, 2013. Prior to joining Northwestern Mutual Investment Services, LLC, Emily was associated with LPL FINANCIAL LLC and FIRST COMMAND FINANCIAL PLANNING, INC.. Emily holds Series 6, 63, and 65 licenses. Emily has worked with various organizations throughout her career, including Trant Associates LLC, Chatford Capital LLC, First Command Insurance Services INC, Donald B Brown, Gene Efird III, and Northwestern Mutual Investment Services LLC. Emily's current employment with Northwestern Mutual Investment Services, LLC began in May 2024.

Firm Information

Emily Smith 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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Emily Smith’s Registration & Firm History

VA

06/24/2024 - Present

Northwestern Mutual Investment Services, LLC (Williamsburg VA)

VA

12/08/2015 - 05/01/2024

LPL FINANCIAL LLC (HAMPTON VA)

VA

07/18/2013 - 12/19/2015

FIRST COMMAND FINANCIAL PLANNING, INC. (NEWPORT NEWS VA)

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Licenses & Designations

IA

Issued 09/14/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/27/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Emily Anne harker Smith.
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