Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Smith is a financial professional licensed to provide securities and investment advisory services in 20 states. Sarah is associated with Northwestern Mutual Investment Services, LLC in the Franklin, WI branch office and holds a Series 6, Series 63, and SIE. Sarah has been working in the securities industry since March 15, 2018.
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
WI
03/16/2018 - Present
Northwestern Mutual Investment Services, LLC (FRANKLIN WI)
BC
Issued 05/04/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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