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Rachel Catherine Smith

Northwestern Mutual Investment Services, LLC

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About Rachel Catherine Smith

Rachel Catherine Smith is a registered representative with Northwestern Mutual Investment Services, LLC. Rachel is licensed to provide financial advice in New Jersey and New York. Rachel has been working in the financial services industry since 2016. Rachel holds the Series 7TO, Series 66, and SIE licenses. Rachel is also a waitress at the Elks Lodge.

Firm Information

Rachel Smith 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

400 BROADHOLLOW RD

MELVILLE, NY 11747

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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Rachel Smith’s Registration & Firm History

NY

09/16/2024 - Present

Northwestern Mutual Investment Services, LLC (MELVILLE NY)

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Licenses & Designations

BOTH

Issued 9/12/2024

Series 66 - Uniform Combined State Law Examination

BC

Issued 9/29/2023

Series 7TO - General Securities Representative Examination

BC

Issued 5/8/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rachel Catherine Smith.
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