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Walter Roman Pierz

Northwestern Mutual Investment Services, LLC

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About Walter Roman Pierz

Walter Pierz is an investment professional with a wealth of experience in the financial services industry, having begun his career in 1988. Walter is currently registered with Northwestern Mutual Investment Services, LLC. He holds a variety of licenses including Series 6, Series 7, Series 24, and Series 63. Walter provides investment research, referrals to other advisors and investment management services.

Firm Information

Walter Pierz 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

1 ELIOT PLACE

FAIRFIELD, CT 06824

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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Walter Pierz’s Registration & Firm History

CT

03/11/2014 - Present

Northwestern Mutual Investment Services, LLC (FAIRFIELD CT)

WI

03/27/1997 - 01/01/2002

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

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Licenses & Designations

IA

Issued 3/4/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 2/27/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 6/26/2001

Series 24 - General Securities Principal Examination

BC

Issued 3/10/1998

Series 12 - NYSE Branch Manager Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/3/2001

Series 7 - General Securities Representative Examination

BC

Issued 12/31/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Walter Roman Pierz. Review regulatory record here.
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