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Roberta Tondo

Northwestern Mutual Investment Services, LLC

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About Roberta Tondo

Roberta Tondo is a financial advisor who has been active in the industry since 2016. She is currently registered with Northwestern Mutual Investment Services, LLC in Charlotte, North Carolina, where she has been working since July 2024. Roberta previously worked with Vanguard Marketing Corporation and Ameriprise Financial Services, Inc., both in North Carolina. She holds Series 66, Series 7 and SIE licenses, and is a Certified Financial Planner.

Firm Information

Roberta Tondo 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

6235 Carnegie Blvd

CHARLOTTE, NC 28211

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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Roberta Tondo’s Registration & Firm History

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)

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Licenses & Designations

BOTH

Issued 11/13/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/22/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roberta Tondo.
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