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George William Ricks

Northwestern Mutual Investment Services, LLC

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About George William Ricks

George William Ricks is an Investment Advisor Representative at Northwestern Mutual Investment Services, LLC. George William Ricks has been in the industry since March 8, 1999 and has been registered with Northwestern Mutual Investment Services, LLC since March 14, 2011. George William Ricks has a Series 6, Series 63, Series 7TO, Series 65 and SIE licenses and is registered in Alabama, Florida, Indiana, Iowa, Nevada, Ohio, Oregon and Texas. George William Ricks is also a Registered Representative with FINRA. The firm specializes in providing investment research, referrals to other advisors, and financial planning.

Firm Information

George Ricks 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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George Ricks’s Registration & Firm History

OH

03/14/2011 - Present

Northwestern Mutual Investment Services, LLC (LIMA OH)

WI

03/09/1999 - 01/01/2002

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

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Licenses & Designations

IA

Issued 03/10/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/29/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/31/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/08/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for George William Ricks.
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