Individual Firm
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Matthew Mertens
Matt Thomas Mertens, Matt Mertens, Matthew Thomas Mertens
CRD#: 6859990
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 Medina, MN
0
Disclosures
5
Years of Experience
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State Registrations
B
Minnesota 5/26/2021
IA
Wisconsin 5/25/2021
B
Wisconsin 5/24/2021
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 5/25/2021
B
Registered with this firm since 5/24/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/25/2019 - 06/02/2020 | MINNEAPOLIS, MN | |
B | 11/25/2019 - 06/02/2020 | MINNEAPOLIS, MN | |
IA | 07/20/2018 - 09/23/2019 | ST CLOUD, MN | |
B | 05/10/2018 - 09/23/2019 | ST CLOUD, MN |
MINNEAPOLIS, MN
11/25/2019 - 06/02/2020
MINNEAPOLIS, MN
11/25/2019 - 06/02/2020
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.