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Kathleen Stanley

Northwestern Mutual Investment Services, LLC

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About Kathleen Stanley

Kathleen Stanley is a financial advisor with Northwestern Mutual Investment Services, LLC. Kathleen has been in the financial industry since 2002 and has worked for several firms over the years. Kathleen currently is registered with the Financial Industry Regulatory Authority (FINRA) and the State of Connecticut, and the State of New York to provide investment advice and related services. Kathleen has experience in a variety of investment products and services, including securities, investment company products, and variable contracts.

Firm Information

Kathleen Stanley 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

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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Kathleen Stanley’s Registration & Firm History

CT

03/15/2007 - Present

Northwestern Mutual Investment Services, LLC (Stamford CT)

GA

02/24/2005 - 03/02/2006

G.F. INVESTMENT SERVICES, LLC (MCDONOUGH GA)

FL

07/26/2004 - 12/31/2004

INTERSECURITIES, INC. (ST. PETERSBURG FL)

WI

08/28/2001 - 06/01/2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

WI

11/07/2000 - 04/18/2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 07/09/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/21/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/29/2008

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/11/2008

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/29/2004

Series 7 - General Securities Representative Examination

BC

Issued 11/06/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kathleen Stanley.
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