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Robert Paul Caraveo

Northwestern Mutual Investment Services, LLC

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About Robert Paul Caraveo

Robert Caraveo is a registered representative of Northwestern Mutual Investment Services, LLC, working from the San Diego, CA branch. Robert has been in the financial industry since May 2, 2010. Robert has passed a variety of securities licensing exams including the Series 6, 7, 63, 65, and 26. Robert holds a current Series 65 registration in California, and also holds Broker-Dealer registrations in 34 states. Robert may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products.

Firm Information

Robert Caraveo 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.

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 Caraveo’s Registration & Firm History

CA

09/30/2013 - Present

Northwestern Mutual Investment Services, LLC (San Diego CA)

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Licenses & Designations

IA

Issued 9/27/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 8/5/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 4/26/2021

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/29/2018

Series 7 - General Securities Representative Examination

BC

Issued 4/30/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Robert Paul Caraveo.
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