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Lee ann Thompson

Northwestern Mutual Investment Services, LLC

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About Lee ann Thompson

Lee ann Thompson is a financial professional with over 14 years of experience in the financial services industry. Lee ann currently works for Northwestern Mutual Investment Services, LLC. Lee ann holds multiple industry licenses including Series 6, 7TO, and 63 licenses and has passed the SIE and the Uniform Investment Adviser Law Examination (Series 65). Lee ann is registered with the state of Florida to provide investment advice. Lee ann previously worked for MML Investors Services, LLC and Northwestern Mutual Investment Services, LLC. Lee ann is committed to helping clients reach their financial goals.

Firm Information

Lee ann Thompson 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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Lee ann Thompson’s Registration & Firm History

FL

04/23/2024 - Present

Northwestern Mutual Investment Services, LLC (WEST PALM BCH FL)

FL

08/31/2023 - 11/08/2023

MML INVESTORS SERVICES, LLC (ORLANDO FL)

FL

03/23/2010 - 08/31/2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (WEST PALM BCH FL)

FL

10/17/2008 - 06/16/2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (BOCA RATON FL)

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Licenses & Designations

IA

Issued 08/23/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/29/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/27/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/16/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lee ann Thompson.
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