Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard James Pertzborn is a financial professional with over 35 years of experience in the financial services industry. Richard Pertzborn is currently registered with Northwestern Mutual Investment Services, LLC in West Des Moines, Iowa. Richard has been with Northwestern Mutual Investment Services since 2008. Richard previously worked with Robert W. Baird & Co. Incorporated from 1987 to 2002. Richard Pertzborn holds Series 6, 63 and 65 licenses.
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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2
IA
07/28/2008 - Present
Northwestern Mutual Investment Services, LLC (W Des Moines IA)
WI
03/13/1987 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 12/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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