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Michael J Raposa

Northwestern Mutual Investment Services, LLC

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About Michael J Raposa

Michael Raposa is a Registered Representative and Investment Advisor Representative associated with Northwestern Mutual Investment Services, LLC. Michael has been in the securities industry for over 15 years and holds a Series 63, Series 66, and Series 7 securities license as well as the SIE exam. Michael is currently licensed in 31 states and the District of Columbia, including Massachusetts, where Michael is registered as an Investment Advisor Representative. Michael's primary practice area is providing investment advice and services to individuals, families, and small businesses.

Firm Information

Michael Raposa 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

1 BEACON ST FL 21

BOSTON, MA 02108

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 Raposa’s Registration & Firm History

MA

12/03/2009 - Present

Northwestern Mutual Investment Services, LLC (BOSTON MA)

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Licenses & Designations

BOTH

Issued 11/23/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 3/21/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 2/5/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael J Raposa.
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