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Thomas Eugene Goris

Northwestern Mutual Investment Services, LLC

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About Thomas Eugene Goris

Thomas Eugene Goris has been in the financial industry since June 12, 1990. Thomas is currently registered with Northwestern Mutual Investment Services, LLC in Skokie, Illinois. Thomas is also a general partner at Goris Financial Group Inc., Vice President at the Boys & Girls Club of Lake County, 100% owner of Thomas Goris Group, LLC, and board member and secretary of Cleereeman Industries. Thomas has been registered as an investment advisor representative in Illinois since May 31, 2012, and has a Series 63 license, a Series 65 license, a Series 7 license, a Series 8 license, a Series 9 license, a Series 10 license, a Series 99TO license and a SIE license.

Firm Information

Thomas Goris 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

5215 OLD ORCHARD ROAD

SKOKIE, IL 60077

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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Thomas Goris’s Registration & Firm History

IL

05/31/2012 - Present

Northwestern Mutual Investment Services, LLC (SKOKIE IL)

WI

07/17/1990 - 01/01/2002

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

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Licenses & Designations

IA

Issued 4/19/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 7/9/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/2/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 1/2/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/25/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/10/1997

Series 7 - General Securities Representative Examination

BC

Issued 6/11/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Eugene Goris.
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