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Nicholas Dean Potthoff

Northwestern Mutual Investment Services, LLC

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About Nicholas Dean Potthoff

Nicholas Potthoff is a financial advisor with over 20 years of experience in the financial services industry. Nicholas is a registered representative of Northwestern Mutual Investment Services, LLC and has been with the firm since 2000. Nicholas is a Chartered Financial Consultant and holds the Series 6, 7, 26, 63 and 66 securities licenses. Nicholas has a diverse background, having previously worked with Robert W. Baird & Co. Incorporated. Nicholas is a respected advisor with experience in financial planning, portfolio management, and investment research.

Firm Information

Nicholas Potthoff 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

110 E. MAIN STREET

OTTAWA, IL 61350

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 Potthoff’s Registration & Firm History

IL

01/12/2006 - Present

Northwestern Mutual Investment Services, LLC (OTTAWA IL)

WI

11/20/2001 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 2/24/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 3/14/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/29/2004

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/4/2005

Series 7 - General Securities Representative Examination

BC

Issued 11/19/2001

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 Dean Potthoff.
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