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Thomas Randolph Shingler

Northwestern Mutual Investment Services, LLC

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About Thomas Randolph Shingler

Thomas Shingler is an active investment advisor representative with Northwestern Mutual Investment Services, LLC. Thomas has been working in the financial services industry since 2004 and has a Series 7, Series 63 and Series 65 licenses. Thomas has a broad range of experience and is registered in multiple states across the country. In addition to working with Northwestern Mutual Investment Services, Thomas is also the 100% owner of Shingler Group LLC and Five Star Pathfinder LLC.

Firm Information

Thomas Shingler 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

2001 Pennsylvania Ave NW

WASHINGTON, DC 20006

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 Shingler’s Registration & Firm History

DC

08/08/2011 - Present

Northwestern Mutual Investment Services, LLC (WASHINGTON DC)

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Licenses & Designations

IA

Issued 7/19/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/21/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/13/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Randolph Shingler.
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