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Roberto Santos Nespereira

Northwestern Mutual Investment Services, LLC

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About Roberto Santos Nespereira

Roberto Nespereira is a financial advisor with Northwestern Mutual Investment Services, LLC. Roberto has been in the industry since March 3, 1995. Roberto is licensed to provide investment advice in California, Colorado, Florida, Georgia, New Jersey, North Carolina, and Virginia. Roberto also holds Series 7, 24, 55, 63, 66, and 79 securities 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. 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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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 01/05/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/18/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/27/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/23/2017

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 02/09/1999

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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