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Gregory M Finger

Northwestern Mutual Investment Services, LLC

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About Gregory M Finger

Gregory Finger is a financial advisor associated with Northwestern Mutual Investment Services, LLC. Gregory has been in the securities industry since February 3, 2012, with experience in both broker-dealer and investment advisory capacities. Gregory holds Series 6, 7, 63 and 65 securities licenses, as well as the SIE exam. Gregory is licensed to provide investment advisory services in Missouri. Gregory also holds a number of other licenses and registrations, including several state registrations.

Firm Information

Gregory Finger 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

5251 W 116TH PL STE 300

LEAWOOD, KS 66211

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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Gregory Finger’s Registration & Firm History

KS

05/20/2015 - Present

Northwestern Mutual Investment Services, LLC (LEAWOOD KS)

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Licenses & Designations

IA

Issued 5/19/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 6/14/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/22/2015

Series 7 - General Securities Representative Examination

BC

Issued 2/2/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Gregory M Finger.
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