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Shawn James Orbach

Northwestern Mutual Investment Services, LLC

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About Shawn James Orbach

Shawn Orbach is a financial advisor with Northwestern Mutual Investment Services, LLC. Shawn has been in the financial services industry since May 2001. Shawn is licensed to offer securities in 51 states and has experience with various firms, including UBS Financial Services Inc., Morgan Stanley DW Inc., and TD Waterhouse Investor Services, Inc.. Shawn holds the Series 3, 7, 9, 10, 31, 63, 65, 99 and SIE licenses. Shawn is a registered Investment Advisor representative in Pennsylvania and is also a Vice President of Finance for King of Prussia Soccer.

Firm Information

Shawn Orbach 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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Shawn Orbach’s Registration & Firm History

PA

07/13/2007 - Present

Northwestern Mutual Investment Services, LLC (PHILADELPHIA PA)

PA

07/11/2003 - 06/26/2007

UBS FINANCIAL SERVICES INC. (PHILADELPHIA PA)

NY

08/08/2001 - 01/10/2003

MORGAN STANLEY DW INC. (PURCHASE NY)

NE

10/26/2000 - 08/06/2001

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

IA

Issued 08/17/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/09/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/09/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/12/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/02/2006

Series 3 - National Commodity Futures Examination

BC

Issued 08/24/2001

Series 31 - Futures Managed Funds Examination

BC

Issued 10/25/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shawn James Orbach.
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