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Wesley J Petteway

Northwestern Mutual Investment Services, LLC

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About Wesley J Petteway

Wesley Petteway is an Investment Advisor Representative at Northwestern Mutual Investment Services, LLC. Wesley has been in the industry since July 2014 and has offices in Princeton, NJ. Wesley is registered with FINRA and is a registered Investment Advisor in NJ. Wesley has passed the Series 6, Series 7, Series 63 and Series 65 exams.

Firm Information

Wesley Petteway 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

202 Carnegie Ctr Ste 201

Princeton, NJ 08540

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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Wesley Petteway’s Registration & Firm History

NJ

05/20/2015 - Present

Northwestern Mutual Investment Services, LLC (Princeton NJ)

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Licenses & Designations

IA

Issued 5/18/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 8/28/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/15/2015

Series 7 - General Securities Representative Examination

BC

Issued 7/30/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Wesley J Petteway. Review regulatory record here.
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