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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 financial industry since February 10, 2014 and is registered with the state of California as an Investment Advisor Representative. Nicholas holds the Series 6, 7, 63 and 65 licenses. Nicholas is also registered in 19 other states. In addition to serving clients through Northwestern Mutual, Nicholas owns NCS Company LLC, a legal entity receiving WMC compensation from personal production.

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 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

18575 Jamboree Rd

IRVINE, CA 92612

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 4/2/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/30/2018

Series 7 - General Securities Representative Examination

BC

Issued 2/10/2014

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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