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Rebecca Ann Carcione

Northwestern Mutual Investment Services, LLC

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About Rebecca Ann Carcione

Rebecca Carcione is an investment advisor representative at Northwestern Mutual Investment Services, LLC. Rebecca is licensed to provide investment advice in Ohio. Rebecca has been in the financial services industry for over 2 years. Rebecca holds Series 63, 65, and SIE licenses. Rebecca is dedicated to helping clients achieve their financial goals.

Firm Information

Rebecca Carcione 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

4726 Hills and Dales Rd

CANTON, OH 44708

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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Rebecca Carcione’s Registration & Firm History

OH

08/14/2024 - Present

Northwestern Mutual Investment Services, LLC (CANTON OH)

OH

04/15/2022 - 03/11/2024

FIFTH THIRD SECURITIES, INC. (NORTH CANTON OH)

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Licenses & Designations

IA

Issued 10/10/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 6/24/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 4/15/2022

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 3/10/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rebecca Ann Carcione.
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