Roberta Smith
Roberta Smith is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Charleston, WV, with 33 years of industry experience. Roberta operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Firm Size
Number of Clients
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Fee Structure
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Location
601 Tennessee Ave, Charleston, WV, 25302
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Roberta is the president of Roberta J Kuhn Financial Services, Inc. (now Roberta J. Smith Financial Services), used for accounting and bill paying. She also owns a non-financial services business, Smith Properties LLC, and has ownership stakes in Trinity Tree Services, Inc. and Trinity Motors Inc., dedicating minimal time to each. Roberta may also earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Robert W. Baird & CO. IncorporatedBroker
State Registrations3 states
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