Sara Diaz
Sara Diaz is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Milwaukee, WI, with 17 years of industry experience. Sara 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
720 E Wisconsin Ave, Milwaukee, WI, 53202
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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 Activities
Sara works as an assistant manager for The Seufert Group D/B/A 105 West Brewing since March 2022, dedicating about 10-20% of her time. This activity is not investment-related.
Employment History
Current Registrations
Northwestern Mutual Investment Services, LLC
Northwestern Mutual Investment Services, LLCBroker
Northwestern Mutual Investment Services,llc
Previous Registrations
Charles Schwab & CO., INC.Broker
Charles Schwab & CO., INC.
Northwestern Mutual Investment Services, LLCBroker
Northwestern Mutual Investment Services,llc
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Chase Investment Services CORP.Broker
State Registrations2 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.