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Rachel Dix

Northwestern Mutual Investment Services, LLC

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About Rachel Dix

Rachel Dix is a financial advisor with Northwestern Mutual Investment Services, LLC, in Milwaukee, WI. Rachel has been in the securities industry since 2015 and holds Series 6, 7TO, 63 and 66 licenses. Prior to joining Northwestern Mutual Investment Services, LLC, Rachel has worked at several other financial institutions. Rachel specializes in providing investment research and referrals to other advisors. Rachel also serves as the treasurer for the Above the Clouds Milwaukee non-profit arts organization.

Firm Information

Rachel Dix 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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Rachel Dix’s Registration & Firm History

WI

12/15/2021 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

WI

09/25/2020 - 10/12/2021

PRUCO SECURITIES, LLC. (APPLETON WI)

WI

04/13/2020 - 09/24/2020

MML INVESTORS SERVICES, LLC (Milwaukee WI)

WI

05/07/2019 - 03/16/2020

FIDELITY BROKERAGE SERVICES LLC (MEQUON WI)

WI

06/02/2015 - 08/08/2018

PRINCIPAL SECURITIES, INC. (Milwaukee WI)

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Licenses & Designations

BOTH

Issued 08/03/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/09/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/07/2019

Series 7TO - General Securities Representative Examination

BC

Issued 08/08/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/02/2015

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Rachel Dix. Review regulatory record here.
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