Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rob? Claim Your ProfileRob Stone is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Rob is located in Raleigh, North Carolina and has been in the industry since 2014. Rob is licensed in North Carolina and Florida. Rob has passed the Series 7, Series 66, Series 63 and the SIE exams. Prior to joining Northwestern Mutual Investment Services, LLC, Rob worked with PRINCIPAL SECURITIES, INC. and Morgan Stanley.
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
1
2
NC
02/01/2023 - Present
Northwestern Mutual Investment Services, LLC (Raleigh NC)
NC
11/05/2020 - 03/31/2021
PRINCIPAL SECURITIES, INC. (Cedar Grove NC)
CA
03/04/2014 - 04/06/2017
MORGAN STANLEY (PASADENA CA)
BC
Issued 01/25/2021
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 04/07/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/05/2020
Series 7TO - General Securities Representative Examination
BC
Issued 04/06/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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