linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Mario Joseph De rose

Northwestern Mutual Investment Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Mario? Claim Your Profile

About Mario Joseph De rose

Mario De rose is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Mario has been in the financial services industry since 2011. Mario has been registered with Northwestern Mutual Investment Services, LLC since 2022. Prior to that, Mario was registered with Patrick Capital Markets, LLC. Mario has a Series 6, 7, 24, 63, and 65 license.

Firm Information

Mario De rose 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.

check

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Referral fees

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Mario De rose’s Registration & Firm History

MO

07/06/2022 - Present

Northwestern Mutual Investment Services, LLC (SAINT LOUIS MO)

MO

08/15/2020 - 05/19/2022

PATRICK CAPITAL MARKETS, LLC (St. Louis MO)

MO

12/19/2018 - 02/04/2019

PRUCO SECURITIES, LLC. (St. Louis MO)

MO

08/13/2015 - 04/03/2018

SCOTTRADE, INC. (ST. LOUIS MO)

MO

08/01/2012 - 11/27/2013

STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)

MO

11/16/2011 - 07/03/2012

COUNTRY CAPITAL MANAGEMENT COMPANY (ELLISVILLE MO)

Not sure if Mario Joseph De rose is right for you?

Licenses & Designations

IA

Issued 02/15/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/02/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/25/2021

Series 24 - General Securities Principal Examination

BC

Issued 04/03/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/2015

Series 7 - General Securities Representative Examination

BC

Issued 11/15/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mario Joseph De rose.
Not sure if Mario Joseph De rose is right for you?