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Allen Paul gardner Brown

Northwestern Mutual Investment Services, LLC

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About Allen Paul gardner Brown

Allen Brown is a financial professional with over 27 years of experience in the financial services industry. Allen is a registered representative of Northwestern Mutual Investment Services, LLC and is licensed in 26 states and the District of Columbia. Allen began his career at Robert W. Baird & Co. Incorporated in 1995 before joining Northwestern Mutual in 1994. Allen has earned licenses to sell securities, variable contracts, and investment advisory products. Allen has Series 7, 6, 63, and 65 licenses and the Securities Industry Essentials (SIE) exam. Allen is a part owner of several real estate investment companies. In addition to his role with Northwestern Mutual, Allen may also earn commissions from insurance companies not affiliated with Northwestern Mutual for the sale of non-variable life, health, annuity, and/or disability income insurance products.

Firm Information

Allen Brown is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

111 EAST BROADWAY

SALT LAKE CTY, UT 84111-5260

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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Allen Brown’s Registration & Firm History

UT

10/02/2007 - Present

Northwestern Mutual Investment Services, LLC (SALT LAKE CTY UT)

WI

01/13/1995 - 01/01/2002

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

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Licenses & Designations

IA

Issued 5/19/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/1/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/28/2006

Series 7 - General Securities Representative Examination

BC

Issued 1/12/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Allen Paul gardner Brown. Review regulatory record here.
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