Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Richard Tracy is a financial advisor with Northwestern Mutual Investment Services, LLC. Seth is a registered representative with 25 years of experience in the financial services industry. Seth is registered in 20 states and holds the Series 6, 7, 63, and 65 licenses. In addition to his work with Northwestern Mutual, Seth also owns a private wealth advisory firm called PNP FOCUS, LLC. Seth's firm, PNP FOCUS, LLC focuses on developing and maintaining client relationships and business development.
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
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NE
09/27/2007 - Present
Northwestern Mutual Investment Services, LLC (OMAHA NE)
WI
04/15/1998 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 06/03/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2005
Series 7 - General Securities Representative Examination
BC
Issued 12/04/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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