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Jay Appel

Northwestern Mutual Investment Services, LLC

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About Jay Appel

Jay Appel is a financial advisor with Northwestern Mutual Investment Services, LLC. Jay has been in the financial services industry since 1997 and has a Series 7, Series 63, and Series 66 license. Jay is registered in the following states: Arizona, California, Connecticut, Florida, Massachusetts, Minnesota, New Jersey, New York, Pennsylvania, and Texas. Previously, Jay worked at Sanford C. Bernstein & Co., LLC and Sanford C. Bernstein & Co., Inc.

Firm Information

Jay Appel 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

500 E BROWARD BLVD

FT LAUDERDALE, FL 33394

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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Jay Appel’s Registration & Firm History

FL

03/17/2021 - Present

Northwestern Mutual Investment Services, LLC (FT LAUDERDALE FL)

NY

12/07/2000 - 05/09/2001

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

05/28/1997 - 12/07/2000

SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 4/15/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 6/24/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 3/11/2019

Series 7TO - General Securities Representative Examination

BC

Issued 1/12/2019

SIE - Securities Industry Essentials Examination

BC

Issued 5/23/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jay Appel.
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