Unclaimed
Nicholas J Gardner is a financial advisor at Northwestern Mutual Investment Services, LLC. Nicholas has been in the financial services industry since September 28, 2004. Nicholas is licensed to sell securities in Alabama, Colorado, Connecticut, Florida, Georgia, Louisiana, Maryland, Mississippi, Missouri, New York, North Carolina, Pennsylvania, Tennessee, Texas, Virginia, and Washington. Nicholas is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). In addition to offering 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.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
AL
02/26/2009 - Present
Northwestern Mutual Investment Services, LLC (HOOVER AL)
BOTH
Issued 2/24/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/28/2007
Series 7 - General Securities Representative Examination
BC
Issued 9/28/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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