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Samuel Goldberg

Northwestern Mutual Investment Services, LLC

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About Samuel Goldberg

Samuel Goldberg is a financial advisor with Northwestern Mutual Investment Services, LLC. Samuel has been in the industry since 2013. Samuel is registered in California and Washington. Samuel is also licensed to offer insurance products through Northwestern Mutual and other companies. Samuel holds the Series 6, 7, 63, and 65 licenses as well as the SIE exam. Samuel is a Certified Financial Planner.

Firm Information

Samuel Goldberg 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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Samuel Goldberg’s Registration & Firm History

CA

06/20/2024 - Present

Northwestern Mutual Investment Services, LLC (LOS ANGELES CA)

CA

10/19/2021 - 11/14/2022

CAMBRIDGE INVESTMENT RESEARCH, INC. (Irvine CA)

CA

01/27/2020 - 06/05/2020

CANTELLA & CO., INC. (Los Angeles CA)

WA

12/01/2017 - 12/18/2018

WOODBURY FINANCIAL SERVICES, INC. (BELLEVUE WA)

WA

01/01/2014 - 11/30/2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SEATTLE WA)

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Licenses & Designations

IA

Issued 02/14/2018

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/29/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2017

Series 7 - General Securities Representative Examination

BC

Issued 12/30/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Samuel Goldberg.
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