Joseph Guin
Joseph Guin is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Lake Forest, IL, with 37 years of industry experience. Joseph 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
Average Client Portfolio
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
272 E Deerpath Rd, Ste 204, Lake Forest, IL, 60045
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Regulatory History (1)
Regulatory
March 2021Other Business ActivitiesSells Insurance
Joseph may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. He is also a 50% owner of Charthouse, LLC, receiving wealth management compensation and risk compensation, dedicating about a quarter of his time. Joseph is also a 100% owner of Inward Nine, Inc., a legal entity, dedicating minimal time.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Northwestern Mutual Wealth Management Company
Robert W. Baird & CO. IncorporatedBroker
Linsco/private Ledger CORP.Broker
Long Grove Trading CO.Broker
Royal Alliance Associates, INC.Broker
Integrated Resources Equity CorporationBroker
State Registrations33 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.