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Heather Katherine Zepeda

Northwestern Mutual Investment Services, LLC

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About Heather Katherine Zepeda

Heather Katherine Zepeda is a financial professional with Northwestern Mutual Investment Services, LLC. She has been in the industry since 2014 and is licensed to provide financial advice in Virginia and the District of Columbia. Heather has a diverse background in financial services, having worked with Northwestern Mutual Life Insurance Company in Milwaukee, Wisconsin before joining Northwestern Mutual Investment Services, LLC. She has a strong understanding of the financial markets and is committed to providing her clients with personalized financial advice to meet their individual needs.

Firm Information

Heather Zepeda 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

3901 WESTERRE PKWY

RICHMOND, VA 23233

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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Heather Zepeda’s Registration & Firm History

VA

12/18/2023 - Present

Northwestern Mutual Investment Services, LLC (RICHMOND VA)

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Licenses & Designations

BOTH

Issued 8/11/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/22/2018

Series 24 - General Securities Principal Examination

BC

Issued 1/29/2018

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 12/16/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/28/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Heather Katherine Zepeda.
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