Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberta? Claim Your ProfileRoberta Tondo is a financial advisor at Northwestern Mutual Investment Services, LLC, based in Charlotte, NC. Roberta is a CERTIFIED FINANCIAL PLANNER™ professional and holds a Series 7, Series 66 and SIE. Roberta has been in the financial industry for over 8 years. Previously, Roberta worked at Vanguard Marketing Corporation and Ameriprise Financial Services, Inc. Roberta is registered to provide investment advice in North Carolina and South Carolina.
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
08/07/2024 - Present
Northwestern Mutual Investment Services, LLC (CHARLOTTE NC)
NC
02/07/2017 - 09/08/2022
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
NC
09/22/2014 - 01/30/2017
AMERIPRISE FINANCIAL SERVICES, INC. (STATESVILLE NC)
BOTH
Issued 11/13/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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