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Kristy Lyn Hopkins

Northwestern Mutual Investment Services, LLC

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About Kristy Lyn Hopkins

Kristy Hopkins is a financial advisor at Northwestern Mutual Investment Services, LLC. Kristy has been in the industry since 1996 and has worked at several firms, including Sanders Morris Harris Inc., World Equity Group, Inc., and Charles Schwab & Co., Inc. Kristy is registered with the Securities and Exchange Commission and is also registered as an investment advisor representative in Colorado.

Firm Information

Kristy Hopkins 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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Kristy Hopkins’s Registration & Firm History

CO

12/18/2019 - Present

Northwestern Mutual Investment Services, LLC (DENVER CO)

IL

09/09/2010 - 01/03/2014

SANDERS MORRIS HARRIS INC. (GLENVIEW IL)

IL

03/24/2008 - 08/12/2010

WORLD EQUITY GROUP, INC. (ARLINGTON HEIGHTS IL)

IL

04/29/2004 - 03/17/2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SKOKIE IL)

TX

04/23/1996 - 12/31/2002

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

CO

11/18/1994 - 02/06/1996

JANUS DISTRIBUTORS, INC. (DENVER CO)

CO

08/23/1994 - 10/10/1994

CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)

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Licenses & Designations

BOTH

Issued 03/16/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/21/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/29/2008

Series 4 - Registered Options Principal Examination

BC

Issued 04/07/2008

Series 24 - General Securities Principal Examination

BC

Issued 04/08/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/22/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kristy Lyn Hopkins. Review regulatory record here.
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