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Kenneth M Chiu

Northwestern Mutual Investment Services, LLC

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About Kenneth M Chiu

Kenneth Chiu is a registered representative at Northwestern Mutual Investment Services, LLC, with over 10 years of experience in the financial services industry. Kenneth holds both Series 7 and Series 63 licenses as well as the Series 65. Kenneth has also previously worked at Raymond James Financial Services, Inc., J.P. Morgan Securities LLC, Chase Investment Services Corp., Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Kenneth is committed to helping clients achieve their financial goals and has a broad base of experience serving clients in the New York area.

Firm Information

Kenneth Chiu 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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Kenneth Chiu’s Registration & Firm History

NY

07/13/2016 - Present

Northwestern Mutual Investment Services, LLC (NEW YORK NY)

NY

06/11/2014 - 03/10/2016

RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)

NY

10/01/2012 - 10/17/2013

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

10/20/2010 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)

NY

06/01/2009 - 06/18/2010

MORGAN STANLEY SMITH BARNEY (NEW YORK NY)

NY

06/26/2007 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/13/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/30/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/25/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kenneth M Chiu.
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