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Gary S Roe

Northwestern Mutual Investment Services, LLC

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About Gary S Roe

Gary Roe is a financial advisor at Northwestern Mutual Investment Services, LLC. Gary has over 30 years of experience in the financial services industry. Gary is a Registered Representative and Investment Advisor Representative, holding the Series 6, 7, 22, 26, 63, and 65 licenses. Gary is also a Chartered Financial Consultant. Gary is committed to providing personalized financial advice to help clients achieve their financial goals.

Firm Information

Gary Roe 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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Gary Roe’s Registration & Firm History

MI

01/01/2025 - Present

Northwestern Mutual Investment Services, LLC (Fenton MI)

MI

08/03/2017 - 01/02/2020

ALLSTATE FINANCIAL SERVICES, LLC (STERLING HEIGHTS MI)

MI

06/11/1986 - 06/28/2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (HOWELL MI)

WI

02/18/1987 - 01/01/2002

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

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Licenses & Designations

IA

Issued 12/28/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/06/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/22/2001

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/28/2001

Series 7 - General Securities Representative Examination

BC

Issued 02/17/1987

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 06/10/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Gary S Roe.
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