DIRECTORY OF REGISTERED ADVISORS
National Coverage
Local Professionals
Durham, NC 27707
919-401-0326
About Northwestern Mutual
Our financial planning conversations don't begin with your finances. Instead we start with you - your life, your family, your priorities, and goals. Once we have your big picture in focus, we'll tailor a plan from a range of financial options using multiple strategies designed specifically to help get you to where you want to be.
See Disclosures
General Information
Firm Start Year
2002
CRD#
4571434
Firm CRD#
2881
Name of Broker/Dealer
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
States Licensed in
NC
Work with the following types of clients
Individual Investors
Advisory Services Provided
Financial Planning, Insurance Products & Annuities, Financial Planning for Businesses, Financial Advice & Consulting, Portfolio Management, Retirement Planning, Financial Planning for Individuals, Investment Advice & Management
Services
Investment Types
Options & Futures, Mutual Funds, Stocks, Exchange Traded Funds (ETFs), Commodities, Insurance, Annuities
Can meet clients in the following ways
Video Conference, Phone, Our Office
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 6, Series 63
Compensation and Fees
Fee Structure
Fee-Based
Disclosures
FinancialAdvisor.net provides referrals to financial professionals. FinancialAdvisor.net is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for FinancialAdvisor.net to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
https://www.financialadvisor.net/disclosure/1893159/financialadvisor-Northwestern-Mutual-detailed-disclosure.html
Disclaimer
Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company, Milwaukee, WI (NM) (life and disability insurance, annuities and life insurance with long-term care benefits) and its subsidiaries. David H. Ramos is an Insurance Agent of NM. Investment advisory services provided as an Advisor of Northwestern Mutual Wealth Management Company®, (NMWMC) Milwaukee, WI, a subsidiary of NM and a federal savings bank. Investment brokerage services provided as a Registered Representative of Northwestern Mutual Investment Services, LLC (NMIS), a subsidiary of NM, broker-dealer, registered investment adviser and member FINRA and SIPC. There may be instances when this agent represents companies in addition to NM or its subsidiaries. While links to other websites are provided for convenience and information, please be advised that except for information related to Northwestern Mutual (NM), the inclusion of, or linking to, other websites does not imply NM endorsement of, nor responsibility for, those websites. Please do not send orders for mutual funds or securities via email, as they cannot be processed. Your transmission of electronic mail to this address represents your consent to two-way communication by Internet email. If you received this in error, please contact the sender and delete the material from any computer on which it exists. ¬