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Michael Shafir

Northwestern Mutual Investment Services, LLC

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About Michael Shafir

Michael Shafir is a financial professional with over 20 years of experience in the industry. Michael is currently registered with Northwestern Mutual Investment Services, LLC in Brooklyn, NY. Michael is a Series 63, 6TO, SIE, 55, and 7 licensed representative, and is also registered as a broker-dealer with the state of New York. Michael is an active participant in the financial services industry and offers a range of services to clients, including investment research and referrals to other advisers.

Firm Information

Michael Shafir 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 Shafir’s Registration & Firm History

NY

12/06/2005 - Present

Northwestern Mutual Investment Services, LLC (Brooklyn NY)

NY

04/14/2004 - 10/01/2004

TRILLIUM TRADING LLC (NEW YORK NY)

IL

03/03/2003 - 04/14/2004

ASSENT LLC (BOLINGBROOK IL)

NY

03/07/2002 - 03/03/2003

ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)

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Licenses & Designations

BC

Issued 04/30/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

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

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/19/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/06/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Shafir. Review regulatory record here.
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