Northwestern Mutual

Financial Advisor in Saratoga, CA

Firm Info
Address: 1190 Saratoga Ave #250, San Jose, CA 95129, USA
Phone: (408) 535-5768

Firm Size
Assets Under Management: $0
# of Advisors: 2,170
# of Clients: 0
Client to Advisor Ratio: -
Average Account Size: 0
# of Offices: 1

Services Offered
  • Other

Available Fee Structures
  • Fixed Fees (Other than subscription)
  • Other

Get Connected with a Financial Advisor

* required fields

Northwestern Mutual Investment Services,LLC Overview

Northwestern Mutual Investment Services, LLC is a fee-based registered investment advisory firm that offers a range of financial services to its clients. With its headquarters in Milwaukee, Wisconsin, the firm has been in business since 1971. It is a broker-dealer and an insurance broker/agent that provides investment advice to its customers. The firm's fee-based arrangement enables it to offer its clients transparent and objective advice without the conflicts of interest that come with traditional commission-based models. Through the firm's investment research capabilities, clients benefit from market insights and analysis that inform investment decisions. In addition, the firm offers referrals to other advisers to ensure that clients receive the best investment opportunities in the market. With its extensive experience in the financial industry, Northwestern Mutual Investment Services, LLC provides tailored investment advice that helps clients meet their long-term financial goals. Whether clients are looking to invest in stocks, bonds, mutual funds or other securities, the firm provides expert guidance to help clients make informed decisions. This personalized approach has helped the firm establish a reputation as a reliable provider of financial services.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC serves a diverse range of clients, including high-net-worth individuals, families, business owners, and retirees. The firm also works with nonprofit organizations, foundations, and corporations to help them achieve their investment and financial goals. With a deep understanding of each client's unique needs and challenges, the team at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC creates tailored solutions and provides personalized advice to help clients navigate the complexities of the financial world. When it comes to fee structures, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC offers a range of options depending on the service provided. Clients can opt for fixed fees, which are calculated based on a flat rate for a specific service, such as financial planning or asset management. Alternatively, the firm also offers other types of fees, such as performance-based fees, which are determined based on the performance of the client's investments. This structure incentivizes the firm to deliver strong results for its clients. Whatever fee structure clients choose, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC ensures transparency and clarity in all its financial dealings, so clients always know exactly what they are paying for.

Typical Clients, Fee Structures & Investment Minimum

According to the Part 2 Brochure of Northwestern Mutual Investment Services, LLC, the investment minimum is not mentioned.

How This Office Can Help Saratoga, CA Residents

Northwestern Mutual is dedicated to helping clients in Saratoga, CA achieve financial security. The town may be known for its beautiful homes and scenery, but residents still face financial challenges like everywhere else. Many people in Saratoga have high net worth and complex financial needs, which is where Northwestern Mutual comes in. The company's advisors can work with clients in Saratoga to create customized financial plans that help them reach their goals. This can include retirement planning, investment management, and risk management solutions like life insurance. Since Saratoga is located in Silicon Valley, many residents work in the tech industry and may have stock options or other equity compensation that must be carefully managed. Northwestern Mutual's advisors can help clients navigate this complex financial landscape, ensuring that they are making informed decisions about their investments. For those who are self-employed or own a business, Northwestern Mutual can also provide guidance on business planning and succession planning. Overall, Northwestern Mutual is committed to working closely with its clients in Saratoga, CA to achieve their financial goals and build a secure financial future.

To view the Minimum Investment and Fee Schedule for Northwestern Mutual Investment Services,LLC, visit their Part 2 Brochure.

Services Offered by Northwestern Mutual Investment Services,LLC

Core Advisor Services
Financial Planning

Financial planning services encompass the process of devising strategies for your future financial well-being, including preparing for events such as retirement, funding your child's college education, or planning for the transfer of assets.

Portfolio Management for Individuals & Small Businesses

Portfolio management entails the careful selection and strategic management of investment combinations tailored to meet the needs of individuals and small businesses.

Market Timing Services

Market timing services involve the endeavor to generate short-term profits from investments by capitalizing on opportunities to buy at low prices and sell at high prices.

Other Services
Selection of Other Advisors

The firm provides support in selecting and engaging other advisors who possess specialized expertise to complement your financial needs.

Publication of Periodicals or Newsletters

The firm engages in the dissemination of diverse financial educational materials through the publication of periodicals.

Educational Seminars & Workshops

The firm organizes and conducts seminars or workshops aimed at enlightening investors on various financial concepts.


Fee Structures

Financial advisory fees usually are based on the services provided. Fee types charged by Northwestern Mutual Investment Services,LLC most likely consist of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.

Available
Fixed Fees (Other than subscription)
Other
Unavailable
Percentage of Assets Under Management (AUM)
Hourly
Subscription (Newsletter or Periodical)
Commissions
Performance-based Fees

This Office Location

Firm location 1190 Saratoga Ave #250, San Jose, CA 95129, USA
Phone (408) 535-5768
Directions
Google My Business Reviews:
5 Stars

Other Office Locations

Firm Headquarters
Firm headquarters location 720 EAST WISCONSIN AVENUE, MILWAUKEE, WI 53202-4797, United States

This firm has no other locations.

State Registrations

Northwestern Mutual Investment Services,LLC is registered to service clients in the following states:

  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • District of Columbia
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Ohio
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin

Disciplinary History

Northwestern Mutual Investment Services,LLC does not have any disclosures. Please visit it's Form ADV for more details.

FREQUENTLY ASKED QUESTIONS

Fiduciary Financial Advisor FAQs