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John Charles Ertz

Northwestern Mutual Investment Services, LLC

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About John Charles Ertz

John Charles Ertz is a registered representative with Northwestern Mutual Investment Services, LLC based in Cleveland, OH. John has been in the financial services industry since 1991, with experience at both Robert W. Baird & Co. Incorporated and Northwestern Mutual Life. John holds multiple industry licenses and designations, and is currently registered in 51 states as a broker-dealer and in Ohio as an investment advisor representative. John is also a 100% owner of JCE Financial Group, LLC, a business related coaching firm, and serves as a board director for Boot Campaign.

Firm Information

John Ertz is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

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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John Ertz’s Registration & Firm History

OH

07/07/2005 - Present

Northwestern Mutual Investment Services, LLC (CLEVELAND OH)

WI

03/22/1991 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 10/07/2004

Series 66 - Uniform Combined State Law Examination

IA

Issued 04/06/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/01/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/17/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/19/1998

Series 7 - General Securities Representative Examination

BC

Issued 03/20/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Charles Ertz.
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