Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sam? Claim Your ProfileSam Smith Mines is a registered representative with Northwestern Mutual Investment Services, LLC. Sam Mines has 1 approved SRO, 1 approved FINRA, and 2 approved state registrations. Sam Mines's registrations include Series 66, Series 7TO and SIE examinations. Sam Mines's current employer is Northwestern Mutual Investment Services, LLC, and has been in the industry for 1 year and 5 months, according to the data. Sam Mines's office is located in Raleigh, NC and the firm's main office is located in Milwaukee, WI.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
NC
11/17/2023 - Present
Northwestern Mutual Investment Services, LLC (Raleigh NC)
BOTH
Issued 11/15/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/24/2023
Series 7TO - General Securities Representative Examination
BC
Issued 02/23/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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