Seth Tracy
Seth Tracy is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Omaha, NE, with 28 years of industry experience. Seth 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
13609 California St, Ste 300, Omaha, NE, 68154
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Regulatory History (1)
Customer Dispute
November 2005Other Business ActivitiesSells Insurance
Seth may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. He also dedicates about a quarter of his time to PNP Focus, LLC and 4 Wizards, LLC, where he is an owner and private wealth advisor.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Northwestern Mutual Wealth Management Company
Northwestern Mutual Investment Services,llc
Robert W. Baird & CO. IncorporatedBroker
State Registrations24 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.