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Nicole Marie Martocci

Northwestern Mutual Investment Services, LLC

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About Nicole Marie Martocci

Nicole Marie Martocci is an investment professional with over 19 years of experience in the financial services industry. Nicole is currently registered with Northwestern Mutual Investment Services, LLC and is located in Norwalk, Connecticut. Nicole provides financial planning and investment advice to a range of clients, including individuals, businesses, and charitable organizations. Nicole holds a Series 7, Series 10, Series 9, Series 63, and Series 66 licenses. She is a member of the Financial Industry Regulatory Authority (FINRA). Nicole has received numerous awards and recognitions for her work in the financial services industry, including being named a Top Advisor by several publications.

Firm Information

Nicole Martocci 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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Nicole Martocci’s Registration & Firm History

CT

05/29/2013 - Present

Northwestern Mutual Investment Services, LLC (Norwalk CT)

CT

02/10/2004 - 11/08/2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (WESTPORT CT)

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Licenses & Designations

BOTH

Issued 05/28/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/20/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/01/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/12/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/25/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicole Marie Martocci.
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