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Michael J Mass

Northwestern Mutual Investment Services, LLC

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About Michael J Mass

Michael J Mass is a registered representative with Northwestern Mutual Investment Services, LLC. Michael has been in the financial industry since 2001. Michael holds a Series 66 license and a Series 24 principal license. Michael has over 20 years of experience in the industry. The primary business address is in Franklin, Wisconsin. In addition to Michael's role with Northwestern Mutual Investment Services, LLC, Michael is also a 50% owner of Bud and Lisa's Party Supply LLC, a party supplies business.

Firm Information

Michael Mass 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

ONE NORTHWESTERN MUTUAL WAY

FRANKLIN, WI 53132

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 Mass’s Registration & Firm History

WI

05/11/2007 - Present

Northwestern Mutual Investment Services, LLC (FRANKLIN WI)

WI

03/29/2001 - 04/24/2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WAUKESHA WI)

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Licenses & Designations

BOTH

Issued 4/2/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/29/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 3/28/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael J Mass.
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