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Shane D Liggio

Northwestern Mutual Investment Services, LLC

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About Shane D Liggio

Shane D. Liggio is a registered representative with Northwestern Mutual Investment Services, LLC. Shane has been in the securities industry since May 1998. Shane is currently registered with the state of Louisiana and holds Series 6, 7, 63, and 66 licenses. Shane has a prior registration with Robert W. Baird & Co. Incorporated. Shane's branch office is located in Lake Charles, Louisiana.

Firm Information

Shane Liggio is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

127 W BROAD ST

LAKE CHARLES, LA 70601-4260

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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Shane Liggio’s Registration & Firm History

LA

04/09/2008 - Present

Northwestern Mutual Investment Services, LLC (LAKE CHARLES LA)

WI

05/28/1998 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 3/19/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 5/27/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/5/2006

Series 7 - General Securities Representative Examination

BC

Issued 5/27/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shane D Liggio.
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