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Nicole Marie Martocci

Northwestern Mutual Investment Services, LLC

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About Nicole Marie Martocci

Nicole Martocci is a financial advisor with Northwestern Mutual Investment Services, LLC. Nicole has been in the financial services industry since July 2009. Nicole is registered with the state of Connecticut and holds the Series 63, Series 66, Series 7, and Series 10 licenses.

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 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

50 Washington St

Norwalk, CT 06854

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 5/28/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 2/20/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 4/1/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 3/12/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/25/2013

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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