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Gene Allen Larock

Northwestern Mutual Investment Services, LLC

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About Gene Allen Larock

Gene Larock is a financial advisor registered with Northwestern Mutual Investment Services, LLC. Gene has been a registered representative in the securities industry since 1990. Gene is registered to offer investment advice in 20 states. Gene also has experience with Robert W. Baird & Co. Incorporated, Franklin Financial Services Corporation and Mutual of Omaha Fund Management Company. Gene is also a chartered financial consultant.

Firm Information

Gene Larock 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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Gene Larock’s Registration & Firm History

WI

02/03/2009 - Present

Northwestern Mutual Investment Services, LLC (Altoona WI)

WI

04/24/1998 - 01/01/2002

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

WI

10/02/1996 - 03/27/1997

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

TX

09/20/1990 - 09/11/1996

FRANKLIN FINANCIAL SERVICES CORPORATION (HOUSTON TX)

NE

06/13/1990 - 08/06/1990

MUTUAL OF OMAHA FUND MANAGEMENT COMPANY (OMAHA NE)

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Licenses & Designations

BC

Issued 06/02/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/2007

Series 7 - General Securities Representative Examination

BC

Issued 06/06/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Gene Allen Larock. Review regulatory record here.
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