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Richard Seymour Wagner

Northwestern Mutual Investment Services, LLC

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About Richard Seymour Wagner

Richard Seymour Wagner is a financial professional with over 30 years of experience in the industry. He has held positions with both Robert W. Baird & Co. Incorporated and John Hancock Distributors, Inc. before joining Northwestern Mutual Investment Services, LLC in 2013. Richard is currently registered in North Carolina and Florida as a Registered Representative and Investment Advisor Representative and holds the Series 6, Series 63, Series 65, and SIE licenses. His areas of expertise include investment research, referrals to other advisers, and non-variable life, health, annuity, and disability income insurance products. Richard is committed to providing clients with personalized financial guidance and investment strategies to help them achieve their financial goals.

Firm Information

Richard Wagner 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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Richard Wagner’s Registration & Firm History

NC

11/21/2013 - Present

Northwestern Mutual Investment Services, LLC (WINSTON SALEM NC)

WI

01/27/2000 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NA

01/27/1984 - 09/12/1985

JOHN HANCOCK DISTRIBUTORS, INC.

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Licenses & Designations

IA

Issued 11/18/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/19/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/26/1984

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Seymour Wagner.
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