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Rafaela Gittens

Northwestern Mutual Investment Services, LLC

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About Rafaela Gittens

Rafaela Gittens is a registered representative with Northwestern Mutual Investment Services, LLC, located in New York, NY. Rafaela has been in the industry since May 2007 and holds Series 66, Series 7, and SIE licenses. Rafaela has previously worked for J.P. MORGAN SECURITIES LLC, TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, and UBS FINANCIAL SERVICES INC. Rafaela has a professional background in providing investment advice and financial services.

Firm Information

Rafaela Gittens 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

200 Liberty St Fl 31

New York, NY 10281

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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Rafaela Gittens’s Registration & Firm History

NY

04/21/2022 - Present

Northwestern Mutual Investment Services, LLC (New York NY)

NY

01/13/2020 - 09/09/2021

J.P. MORGAN SECURITIES LLC (MINEOLA NY)

NY

07/25/2016 - 11/04/2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)

NY

03/10/2010 - 06/16/2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)

NY

05/31/2007 - 11/13/2009

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)

NY

02/13/2006 - 05/15/2007

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 2/24/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 2/10/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rafaela Gittens.
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