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Lesley Nicole Day

Northwestern Mutual Investment Services, LLC

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About Lesley Nicole Day

Lesley Nicole Day is a registered representative with Northwestern Mutual Investment Services, LLC and has been in the financial services industry since June 1999. Lesley Nicole Day is also licensed in 28 states, holding both Series 6 and Series 63 licenses. Lesley Nicole Day has expertise in investment company products and variable contracts. She has been registered with the firm since June 1999. Lesley Nicole Day holds a Series 63 license and is approved in 28 states. In addition to holding the Series 6 and Series 63 licenses, Lesley Nicole Day has also earned a Series 7 and SIE license.

Firm Information

Lesley Day 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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Lesley Day’s Registration & Firm History

NC

06/10/1999 - Present

Northwestern Mutual Investment Services, LLC (Raleigh NC)

WI

06/10/1999 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 01/31/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/01/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/26/2006

Series 7 - General Securities Representative Examination

BC

Issued 06/09/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lesley Nicole Day.
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