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Monica Sinha

Northwestern Mutual Investment Services, LLC

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About Monica Sinha

Monica Sinha is a financial advisor with Northwestern Mutual Investment Services, LLC. Monica has been in the financial services industry since March 13, 2000. She is registered to provide investment advice in 27 states and is also registered as an Investment Advisor Representative in Minnesota. Monica's current branch office is located in Minneapolis, MN. Monica is also the owner of two businesses. She owns 100% of MS Corporation and 70% of Sinha Lueder Enterprises, LLC.

Firm Information

Monica Sinha 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

225 S 6TH ST STE 4500

MINNEAPOLIS, MN 55402

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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Monica Sinha’s Registration & Firm History

MN

11/04/2013 - Present

Northwestern Mutual Investment Services, LLC (MINNEAPOLIS MN)

WI

03/14/2000 - 01/01/2002

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

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Licenses & Designations

BC

Issued 3/14/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 3/7/2005

Series 7 - General Securities Representative Examination

BC

Issued 3/13/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Monica Sinha. Review regulatory record here.
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