Kathryn Mimms
Kathryn Mimms is a CFA-designated registered investment advisor at Northwestern Mutual Investment Services,llc, based in Fairfield, CT, with 15 years of industry experience. Kathryn 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
1 Eliot Place, Ste 200, Fairfield, CT, 06824
Get directionsHistory
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
Kathryn may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. She also engages in outside insurance sales/servicing, dedicating minimal time to these activities.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Commonfund Securities, INC.Broker
State Registrations14 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.