Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Regina? Claim Your ProfileRegina Warren is a financial professional with Northwestern Mutual Investment Services, LLC. Regina is registered with FINRA as a registered representative and is licensed to sell securities in Indiana, New York, North Carolina, and Texas. Regina is a Series 63, Series 6TO, and SIE exam holder. She is also a licensed life and health insurance agent. Regina provides investment advisory services to individual investors and has been in the industry since 2022.
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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IN
07/19/2023 - Present
Northwestern Mutual Investment Services, LLC (Carmel IN)
IN
10/03/2022 - 01/18/2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Carmel IN)
BC
Issued 08/28/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/26/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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