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Raj Shekar

Northwestern Mutual Investment Services,llc
26 Years of Experience
Phoenix, AZ
1 DisclosureBroker
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Raj Shekar is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Phoenix, AZ, with 26 years of industry experience. Raj is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 1 clients.

Northwestern Mutual Investment Services,llc
Compensation
Fixed/Hourly
Firm Size
2138 advisors
IM Fee
Planning only

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

2201 E Camelback Rd, Ste 400, Phoenix, AZ, 85016

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2009
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
March 2026 - Present · 7 mos
Northwestern Mutual Investment Services, LLCBroker
February 2026 - Present · 8 mos
Previous Registrations
Vanguard Advisers, INC.
July 2022 - January 2026 · 3 yrs 6 mos
Vanguard Marketing CorporationBroker
June 2022 - January 2026 · 3 yrs 7 mos
Bancwest Investment Services, INC. (bwis)
August 2020 - January 2022 · 1 yr 5 mos
Bancwest Investment Services, INC.Broker
August 2020 - January 2022 · 1 yr 5 mos
Citizens Securities, INC.
January 2019 - December 2019 · 11 mos
Citizens Securities, INC.Broker
January 2019 - December 2019 · 11 mos
TD Ameritrade, INC.
February 2018 - January 2019 · 11 mos
TD Ameritrade Investment Management, LLC
February 2018 - January 2019 · 11 mos
TD Ameritrade, INC.Broker
February 2018 - January 2019 · 11 mos
Scottrade Investment Management
February 2017 - February 2018 · 1 yr
Scottrade, INC.Broker
February 2017 - February 2018 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2015 - February 2017 · 1 yr 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2015 - February 2017 · 1 yr 3 mos
Householder Group Estate & Retirement Specialists
September 2014 - October 2014 · 1 mo
LPL Financial LLCBroker
August 2014 - October 2014 · 2 mos
Bbva Wealth Solutions INC.
January 2014 - June 2014 · 5 mos
Bbva Securities INC.Broker
December 2013 - June 2014 · 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2011 - October 2013 · 2 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2011 - October 2013 · 2 yrs 4 mos
Chase Investment Services CORP.
May 2011 - May 2011 · 0 mos
Chase Investment Services CORP.Broker
March 2011 - May 2011 · 2 mos
Sagepoint Financial, INC.
March 2006 - March 2011 · 5 yrs
Sagepoint Financial, INC.Broker
October 2005 - March 2011 · 5 yrs 5 mos
Sunamerica Securities, INC.Broker
August 2005 - October 2005 · 2 mos
H&r Block Financial Advisors, INC.Broker
April 2000 - July 2005 · 5 yrs 3 mos
PFS Investments INC.Broker
July 1997 - January 2000 · 2 yrs 6 mos
State Registrations1 state
AZ
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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