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Merrill Joseph Gagne

Northwestern Mutual Investment Services, LLC

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About Merrill Joseph Gagne

Merrill Gagne is a financial advisor currently registered with Northwestern Mutual Investment Services, LLC. Merrill has been in the industry since September 10, 2007. Merrill is registered with the state of Massachusetts as an Investment Advisor Representative and holds the Series 6, 7, and 63 licenses. Merrill also holds the Series 65 license and the SIE exam certification. Merrill's experience includes working with a variety of clients including individuals, corporations, and banking or thrift institutions.

Firm Information

Merrill Gagne 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

238 MAIN ST STE 2

GREENFIELD, MA 01301

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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Merrill Gagne’s Registration & Firm History

MA

06/17/2008 - Present

Northwestern Mutual Investment Services, LLC (GREENFIELD MA)

MA

06/04/2007 - 08/21/2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SPRINGFIELD MA)

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Licenses & Designations

IA

Issued 5/9/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 6/8/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/17/2010

Series 7 - General Securities Representative Examination

BC

Issued 6/1/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Merrill Joseph Gagne.
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