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Matthew James Plocher

Northwestern Mutual Investment Services, LLC

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About Matthew James Plocher

Matthew Plocher is a financial advisor with Northwestern Mutual Investment Services, LLC based in Los Angeles, CA. Matthew has over 27 years of experience in the financial services industry. Matthew is licensed to provide investment advice in 50 states and the District of Columbia. Matthew is a registered representative of Northwestern Mutual Investment Services, LLC.

Firm Information

Matthew Plocher 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.
Northwestern Mutual Investment Services, LLC

550 S Hope St Ste 480

Los Angeles, CA 90071

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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Matthew Plocher’s Registration & Firm History

CA

10/17/2005 - Present

Northwestern Mutual Investment Services, LLC (Los Angeles CA)

WI

01/28/1999 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 10/14/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 3/8/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/3/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/14/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 3/27/2000

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/5/2002

Series 7 - General Securities Representative Examination

BC

Issued 5/1/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Matthew James Plocher.
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