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Joshua Charles Garcia

Northwestern Mutual Investment Services, LLC

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About Joshua Charles Garcia

Joshua Charles Garcia is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Joshua has been in the industry since December 2012, and is registered with the state of Minnesota as an investment advisor representative. Joshua also holds Series 6, 7, 9, 10, 63 and 66 licenses. Joshua's current branch office is located in Mendota Heights, Minnesota.

Firm Information

Joshua Garcia 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

1191 NORTHLAND DR

MENDOTA HTS, MN 55120

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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Joshua Garcia’s Registration & Firm History

MN

02/26/2015 - Present

Northwestern Mutual Investment Services, LLC (MENDOTA HTS MN)

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Licenses & Designations

BOTH

Issued 2/24/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 4/25/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 9/24/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 6/9/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/24/2013

Series 7 - General Securities Representative Examination

BC

Issued 12/17/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joshua Charles Garcia.
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