Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Anthony Mathias is an investment advisor representative with Northwestern Mutual Investment Services, LLC. Michael has been in the financial services industry since 1983 and has a strong track record of providing financial advice to individuals and families. Michael is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 6, Series 63 and Series 65 licenses. Michael is also a registered investment advisor representative in 23 states.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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ND
06/30/1983 - Present
Northwestern Mutual Investment Services, LLC (FARGO ND)
WI
06/03/1993 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
WI
03/02/1987 - 12/19/1989
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 09/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2005
Series 7 - General Securities Representative Examination
BC
Issued 06/29/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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