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Wesley Petteway

11 Years of Experience
Princeton, NJ
3 DisclosuresBrokerSells Insurance

Wesley Petteway is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Princeton, NJ, with 11 years of industry experience. Wesley 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

202 Carnegie Ctr Ste 201, Princeton, NJ, 08540

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History

Regulatory History (3)
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.
Judgment / Lien
November 2016
Criminal
May 2012
Final Disposition
Criminal
March 2000
Final Disposition
Other Business ActivitiesSells Insurance

Wesley may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. Wesley is also the 100% owner of My World Management, receiving compensation, dedicating about 10-20% of his time.

Employment History
Current Registrations
Northwestern Mutual Investment Services, LLCBroker
July 2014 - Present · 11 yrs 10 mos
State Registrations23 states
ALCACOCTDCDEGAILINMAMINCNJNVNYOHPASCTXVAVTWAWI
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.