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Roberto Santos Nespereira

Northwestern Mutual Investment Services, LLC

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About Roberto Santos Nespereira

Roberto Santos Nespereira is a financial professional with over 25 years of experience in the financial services industry. Roberto has been registered with Northwestern Mutual Investment Services, LLC since January 2020 and has held previous registrations with several other firms. Roberto is a registered representative and investment advisor representative in the state of Florida. Roberto holds FINRA Series 7, 24, 55, 63, 66 and 79 licenses.

Firm Information

Roberto Nespereira 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

201 ALHAMBRA CIRCLE

CORAL GABLES, FL 33134

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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Roberto Nespereira’s Registration & Firm History

FL

01/09/2020 - Present

Northwestern Mutual Investment Services, LLC (CORAL GABLES FL)

FL

03/29/2001 - 11/19/2019

NEWBRIDGE SECURITIES CORPORATION (FORT LAUDERDALE FL)

FL

10/15/1998 - 04/20/2001

EMERSON BENNETT & ASSOCIATES (FT. LAUDERDALE FL)

NA

04/11/1991 - 08/06/1991

J. W. GANT & ASSOCIATES, INC.

NA

08/01/1990 - 02/27/1991

GUARDIAN INTERNATIONAL SECURITIES CORP.

NA

07/13/1989 - 02/27/1991

GUARDIAN INTERNATIONAL SECURITIES CORP.

NA

07/17/1989 - 08/03/1990

J. W. GANT & ASSOCIATES, INC.

NA

09/24/1987 - 08/03/1990

J. W. GANT & ASSOCIATES, INC.

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Licenses & Designations

BOTH

Issued 1/5/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 1/18/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 4/27/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/23/2017

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 2/9/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/13/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Roberto Santos Nespereira. Review regulatory record here.
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