Carol Anne Bates
Investment adviser representative at Northwestern Mutual Investment Services,LLC
14 yearsExperience
1 stateRegistered in
CFP® certificationDesignation
$0Firm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Fixed or flat feeOther
Experience
14 years in the industry.
- Northwestern Mutual Wealth Management CompanyOct 2019 to now
- Northwestern Mutual Investment Services, LLCSep 2019 to now
- Edward MoyzesSep 2019 to now
- Purshe Kaplan Sterling InvestmentsFeb 2016 to Sep 2019
- Domus Capital Group, LLCNov 2012 to Sep 2019
Designations
- CFP® certification
Exams passed
- Series 66 · Uniform Combined State Law2008
State registrations
Registered as an investment adviser representative in 1 state (CA).
Northwestern Mutual Investment Services,LLC
Legal name: Northwestern Mutual Investment Services, LLC
$0Assets managed
1Clients
2,130Advisers
54 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5189692
- Firm CRD
- 2881