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Mary Frances Rickford

Northwestern Mutual Investment Services, LLC

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About Mary Frances Rickford

Mary Frances Rickford is a financial professional with over 20 years of experience in the industry. Mary is currently registered with Northwestern Mutual Investment Services, LLC and has been in this role since January 2011. Prior to this, Mary worked for Ameriprise Financial Services, Inc. and IDS Life Insurance Company. Mary holds several licenses including Series 63, 65, 66 and 7. Mary also has her SIE license. In addition to her work with Northwestern Mutual Investment Services, LLC, Mary is also a customer service utilities call center representative for First Collect Services.

Firm Information

Mary Rickford is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.

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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Mary Rickford’s Registration & Firm History

AR

01/04/2011 - Present

Northwestern Mutual Investment Services, LLC (Benton AR)

AR

12/10/2003 - 03/26/2007

AMERIPRISE FINANCIAL SERVICES, INC. (LITTLE ROCK AR)

MN

12/10/2003 - 07/03/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 12/30/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/26/2010

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 12/19/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/5/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mary Frances Rickford.
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