DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Michael Alexander Geotes

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Stamford, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6e579d18-6c3d-4161-6486-29d7a2def4f6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 29, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 29, 2010
First registration: Nov 30, 2010
Dual registered: yes, broker-dealer
Other names: MICHAEL G GEOTOS|MICHAEL G GEOTES|Michael Geotes
IAPD individual key: 5666084

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Feb 16, 2021	n/a	yes	Stamford, CT	Current employment
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jun 5, 2018	Sep 25, 2019	no	DEEP RIVER, CT\|GREENWICH, CT	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	May 22, 2018	no	STAMFORD, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 26, 2012	Mar 25, 2017	no	STAMFORD, CT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 30, 2010	Mar 27, 2012	no	WESTPORT, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIZENS SECURITIES, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Sep 25, 2019	Feb 16, 2021	510	Firm change after gap	Other
MML INVESTORS SERVICES, LLC	CITIZENS SECURITIES, INC.	May 22, 2018	Jun 5, 2018	14	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
WELLS FARGO ADVISORS	MSI FINANCIAL SERVICES, INC.	Mar 27, 2012	Apr 26, 2012	30	Firm change	Other

Relationships

Registered with (5)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Feb 16, 2021 to presentfactForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Jun 5, 2018 to Sep 25, 2019factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to May 22, 2018factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 26, 2012 to Mar 25, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 30, 2010 to Mar 27, 2012factForm ADV

Dated events

No dated event names this entity yet.