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Andrew J Watters

Northwestern Mutual Investment Services, LLC

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About Andrew J Watters

Andrew Watters is a registered representative and investment advisor representative with Northwestern Mutual Investment Services, LLC. Andrew has been in the financial services industry since November 2009. Andrew is registered with 51 states and the District of Columbia. Andrew is also registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Andrew holds the Series 6, 7, 63, and 65 licenses. Andrew has a coaching business related to Northwestern Mutual. Andrew is also the 100% owner of SWP Holdings, LLC and Watters Holdings, LLC, both of which are legal entities that are investment related.

Firm Information

Andrew Watters 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

2000 Shawnee Msn Pkwy

Mission Woods, KS 66205

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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Andrew Watters’s Registration & Firm History

KS

03/08/2022 - Present

Northwestern Mutual Investment Services, LLC (Mission Woods KS)

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Licenses & Designations

IA

Issued 3/6/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/4/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 3/29/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew J Watters.
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