Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas M. Smith is a financial advisor with Northwestern Mutual Investment Services, LLC and has been in the industry since March 2004. Thomas holds the Series 63, 66 and 7 licenses as well as the SIE. Thomas is registered to provide investment advice in 21 states and is affiliated with Northwestern Mutual Investment Services, LLC.
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
1
2
CA
11/06/2008 - Present
Northwestern Mutual Investment Services, LLC (SAN DIEGO CA)
BOTH
Issued 11/03/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/07/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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