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Nicholas Brian Roedl

Northwestern Mutual Investment Services, LLC

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About Nicholas Brian Roedl

Nicholas Roedl is a financial advisor who has been working in the industry since 2007. Nicholas has a Series 7, Series 63, Series 24, and Series 65 license and is registered with the state of Wisconsin as an investment advisor representative (IAR) and registered representative (RR). Nicholas is currently employed with Northwestern Mutual Investment Services, LLC and previously worked with Cambridge Investment Research, Inc. and Edward Jones. Nicholas specializes in providing financial services to clients who need investment research, referrals to other advisors, and other financial advice.

Firm Information

Nicholas Roedl 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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Nicholas Roedl’s Registration & Firm History

WI

11/03/2014 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

WI

09/04/2007 - 10/15/2014

CAMBRIDGE INVESTMENT RESEARCH, INC. (NEW BERLIN WI)

WI

05/09/2006 - 08/04/2006

EDWARD JONES (WAUWATOSA WI)

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Licenses & Designations

IA

Issued 9/18/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/11/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/11/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/8/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Brian Roedl.
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