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Hugo Miguel Alves

Northwestern Mutual Investment Services, LLC

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About Hugo Miguel Alves

Hugo Miguel Alves is a financial advisor who has been in the industry since February 17, 2005. Hugo is currently registered with Northwestern Mutual Investment Services, LLC in Stamford, CT. Hugo has a variety of experience in the financial services industry and has worked with several firms including MML INVESTORS SERVICES, LLC, PEQUOT CAPITAL FINANCIAL SERVICES, WACHOVIA SECURITIES, LLC, METLIFE SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, PRUDENTIAL SECURITIES INCORPORATED, and PRUCO SECURITIES CORPORATION. Hugo has a strong commitment to providing clients with the highest level of service and is dedicated to helping them achieve their financial goals.

Firm Information

Hugo Alves 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

333 Ludlow St Ste 6

Stamford, CT 06902

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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Hugo Alves’s Registration & Firm History

CT

05/11/2022 - Present

Northwestern Mutual Investment Services, LLC (Stamford CT)

CT

11/20/2020 - 05/18/2022

MML INVESTORS SERVICES, LLC (SHELTON CT)

CT

10/14/2009 - 12/17/2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Stamford CT)

CT

10/07/2005 - 12/05/2007

PEQUOT CAPITAL FINANCIAL SERVICES (WESTPORT CT)

MO

01/01/2004 - 11/02/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

MA

02/26/2001 - 03/11/2002

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

02/26/2001 - 03/11/2002

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

NY

02/02/2001 - 03/23/2001

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

07/18/2000 - 02/23/2001

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BOTH

Issued 3/12/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 8/28/2000

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 8/21/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/17/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Hugo Miguel Alves.
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