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Rochelle Mary Maiorca

Northwestern Mutual Investment Services, LLC

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About Rochelle Mary Maiorca

Firm Information

Rochelle Maiorca 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

1201 19th Pl Ste B200K

VERO BEACH, FL 32960

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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Rochelle Maiorca’s Registration & Firm History

FL

11/04/2008 - Present

Northwestern Mutual Investment Services, LLC (VERO BEACH FL)

SC

10/17/2007 - 07/28/2008

BROKERSXPRESS LLC (MT. PLEASANT SC)

SC

03/15/2004 - 01/31/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MT. PLEASANT SC)

NY

01/27/2000 - 11/13/2003

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

CA

06/22/1999 - 01/25/2000

MERCER GLOBAL SECURITIES LLC (IRVINE CA)

CA

05/09/1997 - 09/11/1997

MERCER GLOBAL SECURITIES LLC (IRVINE CA)

NY

12/07/1994 - 12/11/1995

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 1/13/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/16/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/6/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rochelle Mary Maiorca.
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