| Advisor Profile |
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Business Description |
My firm helps families and businesses protect their assets, their income and their lifestyle...using financial, insurance, and investment strategies and solutions.
My mission is to build long-term relationships based upon honesty, trust, and mutual respect, while helping clients achieve their financial goals. |
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General Information |
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| Insurance License#: |
D006750
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| Name of Broker/Dealer: |
Northwestern Mutual Investment Services, LLC
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| States Licensed in: |
FL, TX, GA, NC, NY, NJ, PA
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| Years of Experience in Financial Services: |
15
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| Number of Years with Current Firm: |
15
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Individual Investors
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Education |
| Academic Background |
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BS, Business Administration - Old Dominion University (1990)
MBA - Strayer College (1994)
Ph.D. - Kennedy-Western University (1998) |
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Services |
| Investment Types: |
Options, Annuities, Bonds, Stocks, Insurance, Exchange Traded Funds (ETFs), Mutual Funds, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Financial Consultant (ChFC®)
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| Securities Licenses: |
Series 7, Series 6, Series 63, Series 66
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Life, Health, Annuity
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| Financial Organization Memberships: |
National Association of Estate Planners & Councils, National Association of Insurance and Financial Advisors (NAIFA), Financial Planning Association (FPA), Million Dollar Roundtable
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Advisor's Number of Managed Clients: |
350
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| Advisor's Number of Planning Clients: |
25
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| Assets Managed by Advisor: |
$50,000,000
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Fee % Based on Assets: |
1.0%
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| Prepared By: |
Robert Cox, MBA, ChFC |
| Most Recent Update: |
10/07/2008 |
Frequently Asked Questions |
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| Q. |
What are your qualifications? What is your education background? |
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ChFC, (Chartered Financial Consultant)
MBA
Ph.D. |
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What is your approach to financial planning? |
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A confidential discovery and fact-finding process designed to help you determine if you have any gaps in your financial goals and objectives. |
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What services do you offer? |
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Financial planning and advising. Estate Planning. Investment management. Life and Disability Insurance. Employee Benefits. |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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How are you compensated? How will I pay for your services? |
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Commissions, usually. Fee-based planning is also available. |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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Depends on your answers to a detailed risk tolerance questionairre. |
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Have you ever been charged with any breaches? |
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What carrier(s) do you represent? |
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All A+ and above, including Northwestern Mutual Life, AAA. |
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How long does it take to complete the application and approval process? |
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Is there a maximum age that you can insure? |
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