DR
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David Rasak

13 Years of Experience
Honolulu, HI
4 DisclosuresBrokerSells Insurance

David Rasak is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Honolulu, HI, with 13 years of industry experience. David 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

737 Bishop St Ste 1700, Mauka Tower, Honolulu, HI, 96813

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2019
Final
Regulatory
September 2019
Final
Regulatory
June 2019
Final
Criminal
August 2005
Final Disposition
Other Business ActivitiesSells Insurance

David may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity, and/or disability income insurance products.

Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
February 2015 - Present · 11 yrs 3 mos
Northwestern Mutual Investment Services, LLCBroker
March 2013 - Present · 13 yrs 2 mos
State Registrations23 states
AZCACTDCFLHIILKSMAMIMNMONCNMNVNYORPATXUTVAVTWA
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.
David Rasak - Financial Advisor | TrueAdvisor