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Michael Joseph Ballan

Northwestern Mutual Investment Services, LLC

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About Michael Joseph Ballan

Firm Information

Michael Ballan 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

500 Campus Dr Ste 300

Florham Park, NJ 07932

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 Ballan’s Registration & Firm History

NJ

09/05/2024 - Present

Northwestern Mutual Investment Services, LLC (Florham Park NJ)

NY

11/10/2014 - 01/26/2018

VIRTU AMERICAS LLC (New York NY)

NY

02/26/2013 - 10/24/2014

JANNEY MONTGOMERY SCOTT LLC (NEW YORK NY)

NJ

07/02/2012 - 02/15/2013

KNIGHT CAPITAL AMERICAS LLC (JERSEY CITY NJ)

NJ

06/28/2006 - 07/02/2012

KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)

NY

07/23/2004 - 06/26/2006

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 8/5/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 9/5/2024

SIE - Securities Industry Essentials Examination

BC

Issued 9/3/2024

Series 7TO - General Securities Representative Examination

BC

Issued 9/26/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 7/21/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Joseph Ballan.
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