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Nicholas Christian Socha

Northwestern Mutual Investment Services, LLC

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About Nicholas Christian Socha

Nicholas Socha is a financial professional with Northwestern Mutual Investment Services, LLC. Nicholas has been in the industry since February 10, 2014, and has active registrations with the states of Alaska, Arizona, California, Colorado, Georgia, Idaho, Illinois, Kansas, Louisiana, Massachusetts, Minnesota, Nevada, New Jersey, Oklahoma, Oregon, Pennsylvania, Texas, Utah, and Washington. Nicholas is also registered with FINRA and the state of California as an Investment Advisor Representative. Nicholas has obtained his Series 6, 7, 63 and 65 licenses. In addition to investment advisory services, Nicholas may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products. Nicholas is also the 100% owner of NCS Company LLC, a legal entity established for business purposes.

Firm Information

Nicholas Socha is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

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 Socha’s Registration & Firm History

CA

11/25/2014 - Present

Northwestern Mutual Investment Services, LLC (IRVINE CA)

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Licenses & Designations

IA

Issued 11/24/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/02/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/30/2018

Series 7 - General Securities Representative Examination

BC

Issued 02/10/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Christian Socha.
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