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Joanna Maria Pappas

Northwestern Mutual Investment Services, LLC

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About Joanna Maria Pappas

Joanna Maria Pappas is a financial professional with over 10 years of experience in the industry. Joanna is currently registered as a Registered Representative and Investment Advisor Representative with Northwestern Mutual Investment Services, LLC, in Charlotte, North Carolina. Prior to this position, Joanna was a Registered Representative and Investment Advisor Representative with Wells Fargo Clearing Services, LLC. Joanna holds the Series 6, 7, 63, and 65 licenses, as well as the SIE exam.

Firm Information

Joanna Pappas 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

6235 Carnegie Blvd

CHARLOTTE, NC 28211

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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Joanna Pappas’s Registration & Firm History

NC

03/26/2024 - Present

Northwestern Mutual Investment Services, LLC (CHARLOTTE NC)

VA

03/04/2013 - 10/10/2023

WELLS FARGO CLEARING SERVICES, LLC (VIRGINIA BEACH VA)

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Licenses & Designations

IA

Issued 4/1/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 3/12/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/13/2015

Series 7 - General Securities Representative Examination

BC

Issued 3/1/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joanna Maria Pappas.
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