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Nicholas John Dodds

Northwestern Mutual Investment Services, LLC

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About Nicholas John Dodds

Nicholas Dodds is a financial advisor with Northwestern Mutual Investment Services, LLC. Nicholas is licensed to provide investment advice in Alabama, Georgia, North Carolina, South Carolina and Virginia. Nicholas has been a financial advisor since 2014. Before joining Northwestern Mutual Investment Services, LLC, Nicholas worked at Wells Fargo Clearing Services, LLC, Linden Thomas and Company Securities, LLC, Vanguard Marketing Corporation, USAA Financial Advisors, Inc. and AXA Advisors, LLC. Nicholas holds the Series 7, Series 66 and SIE securities licenses.

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. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

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 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)

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Licenses & Designations

BOTH

Issued 08/21/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/25/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas John Dodds.
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