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Lynn Sheryl Simon

Northwestern Mutual Investment Services, LLC

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About Lynn Sheryl Simon

Lynn Simon is a financial professional with over 30 years of experience in the industry. Lynn is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since 2002. Previously, Lynn was employed by Robert W. Baird & Co. Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Lynn is licensed in 51 states to provide investment advice and services.

Firm Information

Lynn Simon 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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Lynn Simon’s Registration & Firm History

NY

01/01/2002 - Present

Northwestern Mutual Investment Services, LLC (NEW YORK NY)

WI

01/09/1990 - 01/01/2002

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

NY

07/18/1989 - 08/08/1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/12/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/02/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/18/1991

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 07/15/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Lynn Sheryl Simon. Review regulatory record here.
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