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Michael Anthony Searock

Northwestern Mutual Investment Services, LLC

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About Michael Anthony Searock

Michael Searock has been in the financial services industry since 1991. Michael is currently registered with Northwestern Mutual Investment Services, LLC in Oklahoma and Texas, and has previously been registered with Charles Schwab & Co., Inc. and Edward D. Jones & Co., L.P.. Michael is a Series 3, 7, 10, and 65 licensed professional and holds a SIE designation. Michael is a knowledgeable professional with a strong track record of success in the financial services industry.

Firm Information

Michael Searock 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

6301 WATERFORD BLVD

OKLAHOMA CITY, OK 73118

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 Searock’s Registration & Firm History

OK

12/06/2019 - Present

Northwestern Mutual Investment Services, LLC (OKLAHOMA CITY OK)

OK

05/14/1993 - 11/14/2019

CHARLES SCHWAB & CO., INC. (Oklahoma City OK)

MO

09/30/1991 - 10/01/1992

EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)

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Licenses & Designations

IA

Issued 9/14/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/2/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/2/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 1/2/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 7/20/1995

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/27/1991

Series 7 - General Securities Representative Examination

BC

Issued 6/1/1990

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Anthony Searock. Review regulatory record here.
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