Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Herman Roa is a financial professional with over 40 years of experience in the industry. Paul currently holds registrations with FINRA, as well as state registrations in numerous states. Paul works with clients in various capacities as a registered representative of Northwestern Mutual Investment Services, LLC. Paul's previous experience includes time spent at Robert W. Baird & Co. Incorporated.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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IA
01/27/1982 - Present
Northwestern Mutual Investment Services, LLC (W Des Moines IA)
WI
01/05/1998 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
WI
03/26/1990 - 11/18/1992
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BC
Issued 12/20/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2009
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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