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Michael Alexander Geotes

Northwestern Mutual Investment Services, LLC

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About Michael Alexander Geotes

Michael Geotes is a registered investment advisor with Northwestern Mutual Investment Services, LLC. Michael is based in Stamford, CT and has been in the industry since April 2012. Michael has been registered with Northwestern Mutual Investment Services, LLC since February 2021. Prior to that Michael was affiliated with Citizens Securities, Inc., MML Investors Services, LLC, MSI Financial Services, Inc., and Wells Fargo Advisors, LLC. Michael holds licenses in Series 7, Series 9, Series 10, and Series 66. Michael is registered with the state of Connecticut and 50 other states.

Firm Information

Michael Geotes 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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Michael Geotes’s Registration & Firm History

CT

02/16/2021 - Present

Northwestern Mutual Investment Services, LLC (Stamford CT)

CT

06/05/2018 - 09/25/2019

CITIZENS SECURITIES, INC. (GREENWICH CT)

CT

03/25/2017 - 05/22/2018

MML INVESTORS SERVICES, LLC (STAMFORD CT)

CT

03/28/2012 - 03/25/2017

MSI FINANCIAL SERVICES, INC. (STAMFORD CT)

CT

11/09/2010 - 03/27/2012

WELLS FARGO ADVISORS, LLC (WESTPORT CT)

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Licenses & Designations

BOTH

Issued 11/29/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/29/2021

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/21/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/08/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Alexander Geotes.
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