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William Augustus Fochi

Northwestern Mutual Investment Services, LLC

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About William Augustus Fochi

William Augustus Fochi is a financial professional with over 50 years of experience in the industry. William is currently registered with Northwestern Mutual Investment Services, LLC. William has been with Northwestern Mutual Investment Services, LLC since April 2007 and with Northwestern Mutual Life Ins. Co. since May 1963. Prior to that, William was registered with ROBERT W. BAIRD & CO. INCORPORATED from March 1984 until January 2002. William has Series 63, 26, 6TO, SIE, 22, and V06 securities licenses. William is a Chartered Financial Consultant.

Firm Information

William Fochi 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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William Fochi’s Registration & Firm History

CT

04/11/2007 - Present

Northwestern Mutual Investment Services, LLC (GLASTONBURY CT)

WI

03/05/1984 - 01/01/2002

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

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Licenses & Designations

BC

Issued 08/26/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/04/2001

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/24/1984

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 05/22/1969

V06 - Variable Annuities Module Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Augustus Fochi.
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