Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Hu is a financial professional with over 15 years of experience in the financial services industry. Rick is a Registered Representative with Northwestern Mutual Investment Services, LLC and is licensed in multiple states. Rick has passed the Series 6, 7, 26, and 63 exams and has experience in helping clients with their financial needs.
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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NY
05/19/2008 - Present
Northwestern Mutual Investment Services, LLC (New York NY)
BC
Issued 07/17/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/09/2010
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2017
Series 7 - General Securities Representative Examination
BC
Issued 05/17/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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