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Roy Esh

Northwestern Mutual Investment Services, LLC

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About Roy Esh

Roy Esh is a financial advisor with Northwestern Mutual Investment Services, LLC in AVENTURA, FL. Roy has been in the financial services industry since 2008. Roy has a Series 7 and Series 66 license as well as a Series 31 license. Roy has experience working for other financial institutions including MORGAN STANLEY SMITH BARNEY, and MORGAN STANLEY & CO. INCORPORATED.

Firm Information

Roy Esh 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

19950 W COUNTRY CLUB DR

AVENTURA, FL 33180

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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Roy Esh’s Registration & Firm History

FL

06/28/2010 - Present

Northwestern Mutual Investment Services, LLC (AVENTURA FL)

FL

06/01/2009 - 04/30/2010

MORGAN STANLEY SMITH BARNEY (FT. LAUDERDALE FL)

FL

10/06/2008 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (FT. LAUDERDALE FL)

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Licenses & Designations

BOTH

Issued 11/14/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/26/2009

Series 31 - Futures Managed Funds Examination

BC

Issued 10/3/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roy Esh.
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