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Rob Nicholas Stone

Northwestern Mutual Investment Services, LLC

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About Rob Nicholas Stone

Rob Stone is a financial advisor with Northwestern Mutual Investment Services, LLC in Raleigh, North Carolina. Rob has been in the industry since 2014. Rob has experience at both Morgan Stanley and PRINCIPAL SECURITIES, INC.

Firm Information

Rob Stone is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1201 Edwards Mill Rd

Raleigh, NC 27607

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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Rob Stone’s Registration & Firm History

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)

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Licenses & Designations

BC

Issued 1/25/2021

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 4/7/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/5/2020

Series 7TO - General Securities Representative Examination

BC

Issued 4/6/2017

SIE - Securities Industry Essentials Examination

BC

Issued 3/4/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Rob Nicholas Stone. Review regulatory record here.
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