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Kenneth M Chiu

Northwestern Mutual Investment Services, LLC

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About Kenneth M Chiu

Kenneth Chiu is a financial advisor with Northwestern Mutual Investment Services, LLC. Kenneth Chiu is registered with FINRA and has been in the industry since 2008. Kenneth Chiu has passed the Series 7, Series 63 and SIE exams and has a Series 65 license. Kenneth Chiu has 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 Chiu's clients include high-net-worth individuals, corporations, and trusts. Kenneth Chiu's specialties include investment research, referrals to other advisors, and financial planning.

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 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

300 Madison Ave Fl 25

NEW YORK, NY 10017

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 7/30/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/25/2007

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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