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Joseph Anthony Staples

Northwestern Mutual Investment Services, LLC

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About Joseph Anthony Staples

Joseph Staples is a financial advisor with Northwestern Mutual Investment Services, LLC and is registered in Virginia. Joseph has been in the financial services industry since 2017 and has a Series 66 and Series 7 license as well as the SIE exam. Joseph Staples has experience with Vanguard Marketing Corporation and Edward Jones. The firm is headquartered in Milwaukee, Wisconsin.

Firm Information

Joseph Staples 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

3901 WESTERRE PKWY

RICHMOND, VA 23233

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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Joseph Staples’s Registration & Firm History

VA

02/21/2024 - Present

Northwestern Mutual Investment Services, LLC (RICHMOND VA)

PA

04/18/2018 - 12/19/2023

VANGUARD MARKETING CORPORATION (MALVERN PA)

PA

06/14/2017 - 01/29/2018

EDWARD JONES (QUAKERTOWN PA)

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Licenses & Designations

BOTH

Issued 7/1/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/14/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Anthony Staples.
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