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Gloria Wong

Northwestern Mutual Investment Services, LLC

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About Gloria Wong

Gloria Wong is a financial professional registered with Northwestern Mutual Investment Services, LLC. Gloria is licensed to provide investment advice in New York and New Jersey. Gloria has been in the industry for over 10 years and has experience with a variety of financial products and services. She holds the Series 7TO and SIE licenses and has passed the Uniform Combined State Law Examination. Gloria is dedicated to helping her clients achieve their financial goals and is committed to providing personalized financial advice.

Firm Information

Gloria Wong 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

1 Battery Park Plaza

New York, NY 10004

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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Gloria Wong’s Registration & Firm History

NY

02/16/2022 - Present

Northwestern Mutual Investment Services, LLC (New York NY)

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Licenses & Designations

BOTH

Issued 2/3/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 9/29/2021

Series 7TO - General Securities Representative Examination

BC

Issued 7/27/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Gloria Wong.
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