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Robert Philip Sarnecki

Northwestern Mutual Investment Services, LLC

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About Robert Philip Sarnecki

Robert Philip Sarnecki is a financial advisor at Northwestern Mutual Investment Services, LLC. Robert has been in the industry since February 1993. Robert has a Series 63, Series 66, Series 7, Series 9, Series 10, Series 12, Series 24, Series 99TO and SIE. Robert is registered with the Securities and Exchange Commission (SEC) and is also registered with the state of Kansas. Robert is a member of the Financial Industry Regulatory Authority (FINRA). In addition to being registered with the state of Kansas, Robert is also registered with 50 other states.

Firm Information

Robert Sarnecki 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 Sarnecki’s Registration & Firm History

KS

03/05/2008 - Present

Northwestern Mutual Investment Services, LLC (LEAWOOD KS)

WI

02/12/1993 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 06/07/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/09/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/29/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/02/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/22/2002

Series 24 - General Securities Principal Examination

BC

Issued 11/05/1996

Series 12 - NYSE Branch Manager Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/23/2001

Series 7 - General Securities Representative Examination

BC

Issued 02/10/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Robert Philip Sarnecki. Review regulatory record here.
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