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Robert J Roy

Northwestern Mutual Investment Services, LLC

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About Robert J Roy

Robert Roy is a financial advisor associated with Northwestern Mutual Investment Services, LLC. Robert Roy has been in the industry since 2007. Robert Roy is licensed in 28 states. Robert Roy is a Registered Representative with FINRA and a Registered Investment Advisor with the State of Massachusetts. The individual advisor has Series 6, 7 and 63 licenses. Robert Roy is a Registered Investment Advisor with the State of Massachusetts. Robert Roy's firm, Northwestern Mutual Investment Services, LLC, is headquartered in Milwaukee, WI. The firm provides investment advisory services to individuals, corporations, other businesses, and banking or thrift institutions.

Firm Information

Robert Roy 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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Robert Roy’s Registration & Firm History

MA

05/21/2009 - Present

Northwestern Mutual Investment Services, LLC (Wilbraham MA)

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Licenses & Designations

IA

Issued 04/20/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/03/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/03/2011

Series 7 - General Securities Representative Examination

BC

Issued 07/16/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Robert J Roy. Review regulatory record here.
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