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Kimberly K Poeckes

Northwestern Mutual Investment Services, LLC

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About Kimberly K Poeckes

Kimberly Poeckes is a financial advisor associated with Northwestern Mutual Investment Services, LLC in Williston, North Dakota. Kimberly has 9 years of experience in the financial services industry. Kimberly is registered to provide investment advice in 18 states and is also registered as a Registered Representative with FINRA. Kimberly holds licenses for Series 7 and Series 66. Kimberly is also registered with the state of North Dakota as an Investment Advisor Representative. Kimberly may also earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products.

Firm Information

Kimberly Poeckes 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

206 13TH ST W

WILLISTON, ND 58801

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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Kimberly Poeckes’s Registration & Firm History

ND

11/16/2016 - Present

Northwestern Mutual Investment Services, LLC (WILLISTON ND)

ND

11/22/2014 - 08/30/2016

INVESTMENT CENTERS OF AMERICA, INC. (WILLISTON ND)

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Licenses & Designations

BOTH

Issued 2/5/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/22/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kimberly K Poeckes. Review regulatory record here.
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