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Nicholas Patrick Ewen

Northwestern Mutual Investment Services, LLC

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About Nicholas Patrick Ewen

Nicholas Ewen is a financial advisor who has been in the industry since 2008. Nicholas is currently registered with Northwestern Mutual Investment Services, LLC in Albuquerque, NM. Nicholas has been registered with Northwestern Mutual since 2020 and has experience with MML Investors Services, LLC, Pruco Securities, LLC, and NYLife Securities LLC. Nicholas holds licenses in various states and has obtained several professional exams, including Series 6, 7TO, 63, 65, and 26.

Firm Information

Nicholas Ewen 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 Ewen’s Registration & Firm History

NM

06/17/2020 - Present

Northwestern Mutual Investment Services, LLC (ALBUQUERQUE NM)

CA

06/08/2016 - 06/05/2020

MML INVESTORS SERVICES, LLC (IRVINE CA)

CA

07/06/2012 - 05/03/2016

PRUCO SECURITIES, LLC. (IRVINE CA)

IL

03/05/2008 - 06/06/2012

NYLIFE SECURITIES LLC (SCHAUMBURG IL)

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Licenses & Designations

IA

Issued 12/31/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/11/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/06/2012

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 11/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/04/2008

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 Patrick Ewen.
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