Michael Formella, financial advisor Mequon WI
83 score

Michael Formella

CRD Number: 1866986
Current Firm: Northwestern Mutual Investment Services,llc

Michael Formella (CRD# 1866986) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Mequon, WI and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Northwestern Mutual Investment Services, LLC Milwaukee, WI Jul 1988 - Current 28
Northwestern Mutual Life Milwaukee, WI Nov 1987 - Current 29
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1988
S65 NASAA Investment Advisors Law Examination Dec 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Michael P. Formella
Phone Number: 866-664-7737
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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