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Adam George Smith

Northwestern Mutual Investment Services, LLC

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About Adam George Smith

Adam George Smith is a financial advisor with over 25 years of experience in the industry. Adam currently works with Northwestern Mutual Investment Services, LLC, a firm with over 2,000 registered representatives. Adam is registered to provide investment advice in 24 states. Adam holds a Series 6, 7, and 63 licenses, as well as the SIE exam. Adam also holds a Series 65 license, which allows him to provide investment advice as an investment advisor representative (IAR). Prior to joining Northwestern Mutual Investment Services, LLC, Adam worked with Robert W. Baird & Co. Incorporated.

Firm Information

Adam Smith is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Adam Smith’s Registration & Firm History

TN

07/29/1997 - Present

Northwestern Mutual Investment Services, LLC (JOHNSON CITY TN)

WI

01/21/1999 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

IA

Issued 05/01/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/20/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/25/2018

Series 7 - General Securities Representative Examination

BC

Issued 07/28/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Adam George Smith.
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