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Sara Diaz

Northwestern Mutual Investment Services, LLC

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About Sara Diaz

Sara Diaz is a financial advisor who has been in the industry since December 2008. Sara Diaz is currently registered with Northwestern Mutual Investment Services, LLC. Sara Diaz has previously worked at CHARLES SCHWAB & CO., INC. and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. Sara Diaz holds several licenses including Series 6, 7, 9, 10, 26, 63, and 65. Sara Diaz is also a registered representative and an investment advisor representative.

Firm Information

Sara Diaz 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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Sara Diaz’s Registration & Firm History

WI

02/06/2024 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

CO

09/01/2022 - 07/03/2023

CHARLES SCHWAB & CO., INC. (Lone Tree CO)

WI

12/20/2018 - 08/12/2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Milwaukee WI)

CO

01/19/2016 - 11/28/2018

CHARLES SCHWAB & CO., INC. (Lone Tree CO)

WI

10/01/2008 - 12/31/2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

WI

02/14/2008 - 08/26/2008

CHASE INVESTMENT SERVICES CORP. (MILWAUKEE WI)

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Licenses & Designations

IA

Issued 12/18/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/22/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/19/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/06/2013

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/22/2008

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/2013

Series 7 - General Securities Representative Examination

BC

Issued 02/13/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sara Diaz.
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