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Michael John Gotta

Northwestern Mutual Investment Services, LLC

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About Michael John Gotta

Michael John Gotta is a financial professional with over 40 years of experience in the financial services industry. Michael is currently registered with Northwestern Mutual Investment Services, LLC in Skokie, Illinois. Prior to joining Northwestern Mutual Investment Services, LLC, Michael was affiliated with Robert W. Baird & Co. Incorporated, Stanford Securities Incorporated, NML Equity Services, Inc. and Connecticut Mutual Life Insurance Company.

Firm Information

Michael Gotta 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 Gotta’s Registration & Firm History

IL

02/20/1987 - Present

Northwestern Mutual Investment Services, LLC (SKOKIE IL)

WI

09/04/1987 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NA

04/29/1985 - 09/10/1987

STANFORD SECURITIES INCORPORATED

NA

04/03/1981 - 04/15/1986

NML EQUITY SERVICES, INC.

NA

08/24/1978 - 12/25/1980

CONNECTICUT MUTUAL LIFE INSURANCE COMPANY

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Licenses & Designations

BC

Issued 11/21/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/09/1978

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael John Gotta.
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