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Nancy Sarah Noon

Northwestern Mutual Investment Services, LLC

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About Nancy Sarah Noon

Nancy Sarah Noon is a registered representative with Northwestern Mutual Investment Services, LLC. She has been in the financial services industry since 2005. Nancy Sarah Noon is licensed in Wisconsin and holds a Series 6, 7, 24, 63 and 66 licenses. Prior to joining Northwestern Mutual Investment Services, LLC, Nancy Sarah Noon was employed by Dunham & Associates Investment Counsel, Inc. in San Diego, CA and Lord Abbett Distributor LLC in Jersey City, NJ. Nancy Sarah Noon also has experience working at Northwestern Mutual Life Insurance Company.

Firm Information

Nancy Noon 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

720 E Wisconsin Ave

Milwaukee, WI 53202

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 Noon’s Registration & Firm History

WI

01/12/2017 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

CA

03/06/2014 - 10/13/2016

DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. (SAN DIEGO CA)

NJ

07/09/2008 - 01/17/2013

LORD ABBETT DISTRIBUTOR LLC (JERSEY CITY NJ)

NY

06/03/2005 - 06/19/2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 9/8/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 6/14/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 6/9/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/4/2008

Series 7 - General Securities Representative Examination

BC

Issued 6/2/2005

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 Sarah Noon.
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