William Malcolm
William Malcolm is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Westlake Vlg, CA, with 27 years of industry experience. William 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
Westlake Gdns Off PK, 2555 Townsgate Ste 110, Westlake Vlg, CA, 91361
Get directionsHistory
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
William owns rental property and spends minimal time on it, as booking and management are handled by a property manager. William may also earn commissions from insurance companies for sales of non-variable life, health, Medicare, annuity, disability, and/or long-term care insurance products.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Cantor Fitzgerald & CO.Broker
State Registrations8 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.