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John Henry Groth

Northwestern Mutual Investment Services, LLC

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About John Henry Groth

John Henry Groth is a financial advisor with Northwestern Mutual Investment Services, LLC. John Henry has been in the industry since February 2001 and is registered as a broker-dealer in several states, including Ohio, California, Florida and Virginia. John Henry is also a registered investment advisor in Ohio. John Henry has earned the Series 6, Series 7 and Series 63 licenses as well as the SIE and Series 65 examinations. John Henry offers a range of services to individuals and businesses, including investment research and referrals to other advisors.

Firm Information

John Groth 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

950 MAIN AVE STE 600

CLEVELAND, OH 44113

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 Groth’s Registration & Firm History

OH

02/10/2006 - Present

Northwestern Mutual Investment Services, LLC (CLEVELAND OH)

WI

02/20/2001 - 01/01/2002

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

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Licenses & Designations

IA

Issued 9/25/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/27/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 2/18/2006

Series 7 - General Securities Representative Examination

BC

Issued 2/19/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for John Henry Groth. Review regulatory record here.
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