Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Austin Swan is a financial professional at Northwestern Mutual Investment Services, LLC. Nicholas is licensed to provide financial services in 25 states and has been in the financial services industry since February 2020. Nicholas holds the Series 6TO, SIE and Series 63 licenses.
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
FL
02/04/2020 - Present
Northwestern Mutual Investment Services, LLC (BOCA RATON FL)
BC
Issued 06/24/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/04/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 11/26/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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