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Sy Harold Marcus

Northwestern Mutual Investment Services, LLC

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About Sy Harold Marcus

Sy Harold Marcus is a financial professional with over 45 years of experience in the industry. Sy is currently registered with Northwestern Mutual Investment Services, LLC and has been with them since October 2008. Previously, Sy has been registered with ROBERT W. BAIRD & CO. INCORPORATED and TRANSAMERICA FUND SALES, INC. Sy holds Series 63, Series 22TO, Series 6TO, SIE and Series 1 licenses. Sy has been registered in 9 states with the following licenses: California, Connecticut, Florida, Maryland, Massachusetts, New Hampshire, New York, Rhode Island. Sy is a Chartered Financial Consultant.

Firm Information

Sy Marcus 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

1515 S Federal Hwy Ste 208

BOCA RATON, FL 33432

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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Sy Marcus’s Registration & Firm History

FL

10/21/2008 - Present

Northwestern Mutual Investment Services, LLC (BOCA RATON FL)

WI

01/12/1987 - 01/01/2002

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

NA

11/07/1975 - 08/07/1976

TRANSAMERICA FUND SALES, INC.

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Licenses & Designations

BC

Issued 12/30/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/2/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 1/2/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/3/1975

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sy Harold Marcus.
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