Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mindi? Claim Your ProfileMindi Elizabeth Rich is a registered representative with Northwestern Mutual Investment Services, LLC based in Cincinnati, Ohio. Mindi has been in the financial services industry since 2007 and is licensed to provide investment advice in Ohio. Prior to joining Northwestern Mutual Investment Services, LLC, Mindi worked for Raymond James & Associates, Inc. Mindi offers a range of services, including investment research and referrals to other advisors.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
OH
03/08/2010 - Present
Northwestern Mutual Investment Services, LLC (CINCINNATI OH)
OH
05/28/2008 - 08/12/2008
RAYMOND JAMES & ASSOCIATES, INC. (CINCINNATI OH)
OH
03/15/2006 - 05/30/2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CINCINNATI OH)
BC
Issued 06/25/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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