Nicholas Socha
Nicholas Socha is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Irvine, CA, with 12 years of industry experience. Nicholas 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
18575 Jamboree Rd, Ste 400, Irvine, CA, 92612
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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
Nicholas may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. He is also the 100% owner of NCS Company LLC, a legal entity established for business purposes, dedicating minimal time to this activity.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
State Registrations24 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.