Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Demetrius Smiley is a financial professional with Northwestern Mutual Investment Services, LLC. Sean is registered with FINRA as a General Securities Representative and holds the Series 6, Series 7TO, and SIE licenses. Sean has been active in the financial industry since 2016.
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
CA
04/02/2016 - Present
Northwestern Mutual Investment Services, LLC (LOS ANGELES CA)
BC
Issued 07/23/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/10/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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