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Leonard John Gargagliano

Northwestern Mutual Investment Services, LLC

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About Leonard John Gargagliano

Leonard Gargagliano is a financial advisor with Northwestern Mutual Investment Services, LLC. Leonard is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 6, 63 and SIE licenses. Leonard has been in the financial services industry since 1993 and has experience with both investment and insurance products. Leonard specializes in financial planning and investment management.

Firm Information

Leonard Gargagliano 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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Leonard Gargagliano’s Registration & Firm History

TX

10/28/1993 - Present

Northwestern Mutual Investment Services, LLC (DALLAS TX)

WI

02/13/1998 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

IA

Issued 06/22/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/23/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/27/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Leonard John Gargagliano. Review regulatory record here.
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