John Smith
John Smith is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in New Hartford, NY, with 8 years of industry experience. John 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
19 Campion Rd, New Hartford, NY, 13413
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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
John may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. He is also a 50% owner of Baniff Properties LLC (investment property) and owner of Baniff LLC (legal entity for receiving compensation), dedicating a few hours per week to the former and about half his time to the latter.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
State Registrations19 states
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