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Bao chau Le Klemm

Northwestern Mutual Investment Services, LLC

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About Bao chau Le Klemm

Bao Chau Le Klemm has been an active financial advisor in the industry since April 1995. Bao Chau is currently registered with Northwestern Mutual Investment Services, LLC in Los Angeles, California. Bao Chau has a variety of licenses and registrations, including Series 7, Series 63, Series 65, Series 8, Series 9, Series 10, and Series 99TO. Bao Chau has previous experience working with Robert W. Baird & Co. Incorporated in Milwaukee, Wisconsin. Bao Chau holds a chair position with the UCLA Chancellor's Cabinet - Chancellor's Society and is a 50% owner of Le Klemm Enterprise.

Firm Information

Bao chau Klemm 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

550 S Hope St Ste 480

Los Angeles, CA 90071

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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Bao chau Klemm’s Registration & Firm History

CA

02/10/2003 - Present

Northwestern Mutual Investment Services, LLC (Los Angeles CA)

WI

05/01/1995 - 01/01/2002

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

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Licenses & Designations

IA

Issued 12/29/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/23/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/2/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 1/2/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 4/10/1995

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/28/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Bao chau Le Klemm. Review regulatory record here.
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