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Roshell Carter

Northwestern Mutual Investment Services, LLC

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About Roshell Carter

Roshell Carter is a financial professional with over 16 years of experience in the industry. Roshell is currently registered with Northwestern Mutual Investment Services, LLC and is seeking registration in Wisconsin. Previously, Roshell was registered with Ally Invest Securities LLC, Wells Fargo Advisors Financial Network, LLC, Wells Fargo Clearing Services, LLC, and E*TRADE SECURITIES LLC.

Firm Information

Roshell Carter 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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Roshell Carter’s Registration & Firm History

WI

01/01/2025 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

NC

06/01/2021 - 06/17/2022

ALLY INVEST SECURITIES LLC (Charlotte NC)

VA

03/28/2019 - 12/02/2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (GLEN ALLEN VA)

VA

04/18/2016 - 12/02/2020

WELLS FARGO CLEARING SERVICES, LLC (GLEN ALLEN VA)

NC

09/26/2006 - 04/23/2008

E*TRADE SECURITIES LLC (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 06/30/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/13/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/04/2019

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/03/2019

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/18/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roshell Carter.
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