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Paul Christopher Richards

Northwestern Mutual Investment Services, LLC

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About Paul Christopher Richards

Paul Christopher Richards is an investment advisor representative of Northwestern Mutual Investment Services, LLC and has been in the financial services industry since February 8, 1986. Paul is based in Jacksonville, FL and is licensed in 20 states. Paul has completed several industry exams, including the Series 7, Series 9, Series 10, Series 24, Series 55, and Series 66. Paul previously worked at DME Securities, LLC, Investors Capital Corp., Wachovia Securities, Inc., Wachovia Brokerage Service, OLDE Discount Corporation, and Hereth, Orr & Jones, Inc.

Firm Information

Paul Richards 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

4345 Southpoint Blvd

JACKSONVILLE, FL 32216

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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Paul Richards’s Registration & Firm History

FL

05/31/2005 - Present

Northwestern Mutual Investment Services, LLC (JACKSONVILLE FL)

NY

02/11/2003 - 06/13/2003

DME SECURITIES, LLC (NEW YORK NY)

MA

07/02/2002 - 12/02/2002

INVESTORS CAPITAL CORP. (LYNNFIELD MA)

NC

02/14/2000 - 08/02/2000

WACHOVIA SECURITIES, INC. (CHARLOTTE NC)

NC

07/16/1987 - 02/14/2000

WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)

NA

08/28/1984 - 07/06/1987

OLDE DISCOUNT CORPORATION

NA

12/20/1983 - 02/02/1984

HERETH, ORR & JONES, INC.

NA

05/26/1983 - 12/16/1983

FIRST JERSEY SECURITIES, INC.

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Licenses & Designations

BOTH

Issued 5/24/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 8/8/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/2/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 1/2/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 2/29/1988

Series 24 - General Securities Principal Examination

BC

Issued 8/7/1986

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 6/11/1985

Series 4 - Registered Options Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/18/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 5/21/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Paul Christopher Richards. Review regulatory record here.
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