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Rob Stone
7 Years of Experience
Raleigh, NC
3 DisclosuresBroker
Rob Stone is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Raleigh, NC, with 7 years of industry experience. Rob operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Fixed/Hourly
Firm Size
2117 advisors
Number of Clients
1 client
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
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.
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Location
1201 Edwards Mill Rd, Ste 200, Raleigh, NC, 27607
Get directionsHistory
Regulatory History (3)
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Financial
February 2019Final
Financial
February 2019Final
Financial
January 2019Final
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
February 2023 - Present · 3 yrs 3 mos
Northwestern Mutual Investment Services, LLCBroker
January 2023 - Present · 3 yrs 4 mos
Previous Registrations
Principal Securities, INC.
November 2020 - March 2021 · 4 mos
Principal Securities, INC.Broker
November 2020 - March 2021 · 4 mos
Datavest Advisers, LLC
April 2019 - December 2019 · 8 mos
Morgan Stanley
April 2014 - April 2017 · 3 yrs
Morgan StanleyBroker
March 2014 - April 2017 · 3 yrs 1 mo
State Registrations2 states
FLNC
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.