Kathryn Mimms
Kathryn Mimms is a CFA-designated registered investment advisor at Northwestern Mutual Investment Services,llc, based in Fairfield, CT, with 16 years of industry experience. Kathryn is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 1 clients.
Compensation
Firm Size
IM Fee
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
1 Eliot Place, Ste 200, Fairfield, CT, 06824
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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
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.
Exams
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