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John Sangmin Chung

Northwestern Mutual Investment Services, LLC

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About John Sangmin Chung

John Chung is a financial professional with over 27 years of experience in the financial services industry. John is currently registered with Northwestern Mutual Investment Services, LLC and is located in Redwood City, California. John's primary focus is on providing financial guidance and services to individuals and families. He has a Series 6 and Series 63 license. John has previously worked for both Robert W. Baird & Co. Incorporated and Northwestern Mutual Investment Services, Inc. John is committed to building long-term relationships with clients and helping them achieve their financial goals.

Firm Information

John Chung 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 Chung’s Registration & Firm History

CA

09/04/1997 - Present

Northwestern Mutual Investment Services, LLC (REDWOOD CITY CA)

WI

09/04/1997 - 01/01/2002

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

WI

02/25/1994 - 05/13/1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)

WI

02/25/1994 - 05/13/1997

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

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Licenses & Designations

BC

Issued 03/16/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/24/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for John Sangmin Chung. Review regulatory record here.
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