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Sean Christian Carroll

Northwestern Mutual Investment Services, LLC

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About Sean Christian Carroll

Sean Carroll is a financial professional with over 20 years of experience in the industry. Sean is currently registered with Northwestern Mutual Investment Services, LLC in Colorado Springs, Colorado. Sean has also previously worked for AXA Advisors, LLC, U.S. Bancorp Investments, Inc., and Wells Fargo Brokerage Services, L.L.C. Sean holds Series 6, 7, 63, and 66 securities licenses and the SIE exam. Sean is registered in 22 states and is currently active with Northwestern Mutual Investment Services, LLC. Sean has worked with clients in a variety of industries and has experience in providing investment advice, financial planning, and portfolio management services.

Firm Information

Sean Carroll 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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Sean Carroll’s Registration & Firm History

CO

10/25/2002 - Present

Northwestern Mutual Investment Services, LLC (COLORADO SPGS CO)

NY

08/31/2001 - 09/30/2002

AXA ADVISORS, LLC (NEW YORK NY)

MN

09/11/2000 - 11/04/2001

U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)

MN

03/30/2000 - 07/10/2000

WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 09/17/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/29/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/09/2007

Series 7 - General Securities Representative Examination

BC

Issued 03/29/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sean Christian Carroll.
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