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Nicholas George Dippel

Northwestern Mutual Investment Services, LLC

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About Nicholas George Dippel

Nicholas Dippel is a financial advisor with over 10 years of experience in the financial services industry. Nicholas holds Series 7, 63 and 65 licenses and is currently registered with Northwestern Mutual Investment Services, LLC in New Hampshire. Nicholas also has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Fidelity Brokerage Services LLC.

Firm Information

Nicholas Dippel 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

400 BROADHOLLOW RD

MELVILLE, NY 11747

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 Dippel’s Registration & Firm History

NY

08/09/2022 - Present

Northwestern Mutual Investment Services, LLC (MELVILLE NY)

MA

06/09/2017 - 07/13/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WELLESLEY HILLS MA)

MA

04/17/2012 - 05/15/2017

FIDELITY BROKERAGE SERVICES LLC (CAMBRIDGE MA)

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Licenses & Designations

IA

Issued 6/1/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/1/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/16/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas George Dippel.
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