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Tucker Ray Groves

Northwestern Mutual Investment Services, LLC

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About Tucker Ray Groves

Tucker Ray Groves is a financial advisor who has been in the industry since June 11, 2000. Tucker is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since January 13, 2014. Previously, Tucker was employed by ROBERT W. BAIRD & CO. INCORPORATED from August 24, 2000 until January 1, 2002. Tucker has licenses to provide investment advisory services in Alabama. Tucker holds Series 6, 63, and 65 licenses, along with the SIE exam.

Firm Information

Tucker Groves 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

1901 6TH AVE N STE 2800

BIRMINGHAM, AL 35203

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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Tucker Groves’s Registration & Firm History

AL

01/13/2014 - Present

Northwestern Mutual Investment Services, LLC (BIRMINGHAM AL)

WI

08/24/2000 - 01/01/2002

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

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Licenses & Designations

IA

Issued 12/17/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/3/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/9/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tucker Ray Groves.
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