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Karen M Oberg

Northwestern Mutual Investment Services, LLC

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About Karen M Oberg

Karen Oberg is a financial advisor associated with Northwestern Mutual Investment Services, LLC. Karen has been working in the financial services industry since 2003. Karen has passed the Series 7, Series 66, Series 9, Series 10, Series 99TO and SIE exams and is registered in 51 states. Karen has worked at Northwestern Mutual Investment Services, LLC since 2016.

Firm Information

Karen Oberg 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

720 E Wisconsin Ave

Milwaukee, WI 53202

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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Karen Oberg’s Registration & Firm History

WI

11/29/2021 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

ND

11/27/2015 - 03/14/2016

WOODBURY FINANCIAL SERVICES, INC. (FARGO ND)

ND

11/19/2007 - 04/10/2014

BANCWEST INVESTMENT SERVICES, INC. (FARGO ND)

ND

08/12/2006 - 09/19/2007

UBS FINANCIAL SERVICES INC. (FARGO ND)

ND

12/12/2005 - 08/12/2006

PIPER JAFFRAY & CO. (FARGO ND)

MN

08/29/2005 - 11/30/2005

EDWARD JONES (SABIN MN)

MN

01/02/2003 - 08/05/2005

QUESTAR CAPITAL CORPORATION (MINNEAPOLIS MN)

CO

11/27/2001 - 12/31/2002

MULTI-FINANCIAL SECURITIES CORPORATION (GREENWOOD VILLAGE CO)

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Licenses & Designations

BOTH

Issued 1/8/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 6/6/2016

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 5/31/2016

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/26/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Karen M Oberg.
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