Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Smith is a financial advisor with Northwestern Mutual Investment Services, LLC, based in New Hartford, NY. John has been in the financial services industry since October 2016 and has experience in investment company products, variable contracts, and general securities. John holds licenses and registrations in multiple states including New York, New Jersey, Florida, and Texas, and is an active participant in the financial industry. John's primary focus is on helping clients achieve their financial goals through a variety of investment and financial planning services.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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2
NY
03/02/2018 - Present
Northwestern Mutual Investment Services, LLC (NEW HARTFORD NY)
BOTH
Issued 02/24/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2019
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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