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Jeffrey Alan Novak

Northwestern Mutual Investment Services, LLC

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About Jeffrey Alan Novak

Jeffrey Alan Novak is a financial advisor in Troy, MI with over 20 years of experience in the financial services industry. Jeffrey Novak is currently registered with Northwestern Mutual Investment Services, LLC. Previously, Jeffrey Novak was employed with Equitable Advisors, LLC, AXA Advisors, LLC, T3 Trading Group, LLC, WTS Proprietary Trading Group LLC, Ocean View Capital, LLC, EchoTrade LLC, Rosenthal Collins Equities, L.L.C., May Financial Corporation, and H&R Block Financial Advisors, INC. Jeffrey Novak is licensed to provide financial advice in Michigan.

Firm Information

Jeffrey Novak 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

101 W Big Beaver Rd

TROY, MI 48084

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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Jeffrey Novak’s Registration & Firm History

MI

05/16/2022 - Present

Northwestern Mutual Investment Services, LLC (TROY MI)

MI

10/06/2020 - 10/21/2021

EQUITABLE ADVISORS, LLC (TROY MI)

MI

09/13/2018 - 05/11/2020

AXA ADVISORS, LLC (TROY MI)

NY

11/07/2014 - 02/26/2015

T3 TRADING GROUP, LLC (NEW YORK NY)

NY

10/07/2011 - 11/07/2014

WTS PROPRIETARY TRADING GROUP LLC (NEW YORK NY)

CA

01/28/2011 - 09/22/2011

OCEAN VIEW CAPITAL, LLC (RANCHO SANTA FE CA)

AZ

04/28/2006 - 08/10/2007

ECHOTRADE LLC (PHOENIX AZ)

IL

03/23/2005 - 03/06/2006

ROSENTHAL COLLINS EQUITIES, L.L.C. (CHICAGO IL)

TX

08/06/2001 - 10/20/2004

MAY FINANCIAL CORPORATION (DALLAS TX)

MI

10/09/2000 - 07/31/2001

H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)

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Licenses & Designations

IA

Issued 4/26/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 1/16/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/13/2018

Series 7 - General Securities Representative Examination

BC

Issued 12/14/2000

Series 55 - Limited Representative-Equity Trader Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Jeffrey Alan Novak. Review regulatory record here.
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