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Timothy Robert Rice

Northwestern Mutual Investment Services, LLC

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About Timothy Robert Rice

Timothy Robert Rice is a financial professional based in LOUISVILLE, Kentucky. Timothy has been working in the financial services industry since March 17, 1997. Timothy currently holds licenses for securities and investments with Northwestern Mutual Investment Services, LLC. Previously, Timothy worked for ROBERT W. BAIRD & CO. INCORPORATED in MILWAUKEE, Wisconsin. Timothy has passed exams such as the Series 6, Series 7, Series 63, and the SIE. Timothy is registered in several states including Alabama, Arkansas, California, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, Michigan, Mississippi, North Carolina, Ohio, Oklahoma, Pennsylvania, Tennessee, Texas, Virginia, and Wisconsin.

Firm Information

Timothy Rice 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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Timothy Rice’s Registration & Firm History

KY

03/18/1997 - Present

Northwestern Mutual Investment Services, LLC (LOUISVILLE KY)

WI

06/25/1998 - 01/01/2002

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

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Licenses & Designations

BC

Issued 08/25/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/04/2006

Series 7 - General Securities Representative Examination

BC

Issued 03/17/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Timothy Robert Rice.
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