Claude Smith
Claude Smith is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Bozeman, MT, with 10 years of industry experience. Claude 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
1276 N 15th Ave Ste 202, Bozeman, MT, 59715
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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
Claude may earn commissions from insurance companies for sales of non-variable life, health, medicare, annuity, disability, and/or long-term care insurance products. He also owns a portion of an investment property and CWS Holdings LLC, and participates in a networking group, dedicating minimal time to each.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
State Registrations30 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.