Sandeep Gupta
Sandeep Gupta is a ChFC-designated registered investment advisor at Northwestern Mutual Investment Services,llc, based in Manhattan Bch, CA, with 13 years of industry experience. Sandeep 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
1230 Rosecrans Ave, Ste 100, Manhattan Bch, CA, 90266
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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
Sandeep is the treasurer for a Girl Scout troop, dedicating minimal time to managing their finances. Sandeep may also earn commissions from insurance companies for selling 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
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
State Registrations18 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.