linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Nicholas John Dodds

Northwestern Mutual Investment Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Nicholas? Claim Your Profile

About Nicholas John Dodds

Nicholas Dodds is a financial advisor at Northwestern Mutual Investment Services, LLC, located in Charlotte, NC. Nicholas joined Northwestern Mutual in January of 2022. Nicholas has over 7 years of experience in the financial services industry. Nicholas has a Series 7 and Series 66 license and holds his securities registrations with FINRA and the state of North Carolina. Prior to joining Northwestern Mutual, Nicholas worked at Wells Fargo Clearing Services, LLC.

Firm Information

Nicholas Dodds 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

6235 Carnegie Blvd

CHARLOTTE, NC 28211

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.

check

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Referral fees

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Nicholas Dodds’s Registration & Firm History

NC

01/11/2022 - Present

Northwestern Mutual Investment Services, LLC (CHARLOTTE NC)

NC

05/19/2021 - 12/02/2021

WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)

NC

03/18/2021 - 04/26/2021

LINDEN THOMAS AND COMPANY SECURITIES, LLC (CHARLOTTE NC)

NC

01/05/2017 - 03/03/2021

VANGUARD MARKETING CORPORATION (CHARLOTTE NC)

FL

11/10/2014 - 11/11/2016

USAA FINANCIAL ADVISORS, INC. (TAMPA FL)

NC

07/25/2014 - 10/30/2014

AXA ADVISORS, LLC (CHARLOTTE NC)

Not sure if Nicholas John Dodds is right for you?

Licenses & Designations

BOTH

Issued 8/21/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/25/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas John Dodds.
Not sure if Nicholas John Dodds is right for you?