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Nancy Ann Adams

Northwestern Mutual Investment Services, LLC

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About Nancy Ann Adams

Nancy Adams is a registered Investment Advisor Representative with Northwestern Mutual Investment Services, LLC. Nancy has been in the financial services industry since 1998. Nancy holds the Series 6, 7, 63 and 65 licenses, as well as the SIE. Nancy is registered to provide securities and investment advisory services in Connecticut, Florida, Maryland, Massachusetts, Michigan, Mississippi, New Jersey, New York, Texas and Washington. Nancy is also registered with FINRA and the State of Connecticut. Nancy specializes in providing investment advisory services to high net worth individuals and other clients. In addition to her investment advisory practice, Nancy also provides referrals to other advisors.

Firm Information

Nancy Adams 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

1 ELIOT PLACE

FAIRFIELD, CT 06824

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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Nancy Adams’s Registration & Firm History

CT

11/05/2013 - Present

Northwestern Mutual Investment Services, LLC (FAIRFIELD CT)

CT

05/29/1998 - 09/07/2007

INFINEX INVESTMENTS, INC. (SHELTON CT)

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Licenses & Designations

IA

Issued 11/4/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 2/6/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/25/2006

Series 7 - General Securities Representative Examination

BC

Issued 5/28/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nancy Ann Adams.
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