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Jonathan Joseph Piazza-harper

Northwestern Mutual Investment Services, LLC

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About Jonathan Joseph Piazza-harper

Jonathan Piazza-Harper is a financial advisor with Northwestern Mutual Investment Services, LLC. Jonathan has been in the financial services industry since 2012. Jonathan holds the Series 6, 7TO, and 63 securities licenses as well as the Series 65 investment advisor license. Jonathan is also a Certified Financial Planner. Jonathan is registered with FINRA and the state of Connecticut and has been previously registered with FINRA and the state of Connecticut. Jonathan specializes in helping individuals and families meet their financial goals.

Firm Information

Jonathan Piazza-harper 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

333 Ludlow St Ste 6

Stamford, CT 06902

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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Jonathan Piazza-harper’s Registration & Firm History

CT

05/11/2022 - Present

Northwestern Mutual Investment Services, LLC (Stamford CT)

CT

01/20/2021 - 05/20/2022

MML INVESTORS SERVICES, LLC (SHELTON CT)

CT

04/10/2012 - 12/17/2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Stamford CT)

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Licenses & Designations

IA

Issued 9/24/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/7/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 2/8/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/9/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jonathan Joseph Piazza-harper.
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