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Joseph Anthony Simons

Northwestern Mutual Investment Services, LLC

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About Joseph Anthony Simons

Joseph Simons is a financial advisor with Northwestern Mutual Investment Services, LLC. Joseph has been in the financial industry since October 7, 1983. Joseph is registered with the state of Wisconsin to provide investment advice and sell securities. Joseph has experience working with individuals and has been with Northwestern Mutual Investment Services since 2011.

Firm Information

Joseph Simons 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

2,341

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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Joseph Simons’s Registration & Firm History

WI

01/12/2011 - Present

Northwestern Mutual Investment Services, LLC (DELAFIELD WI)

WI

07/02/2009 - 12/21/2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (BROOKFIELD WI)

WI

05/04/2006 - 05/18/2009

SAGEPOINT FINANCIAL, INC. (WAUKESHA WI)

WI

08/12/1983 - 04/18/2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (BROOKFIELD WI)

WI

02/09/1989 - 01/01/2002

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

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Licenses & Designations

IA

Issued 11/22/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/27/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/21/1995

Series 12 - NYSE Branch Manager Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/27/1999

Series 7 - General Securities Representative Examination

BC

Issued 08/11/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Anthony Simons.
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