linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Bao chau Le Klemm

Northwestern Mutual Investment Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Bao chau? Claim Your Profile

About Bao chau Le Klemm

Bao chau Klemm is an investment advisor representative with Northwestern Mutual Investment Services, LLC. Bao chau Klemm has been in the financial services industry since 1995 and has experience with Northwestern Mutual Wealth Management Company, Robert Kerrigan and Robert W. Baird & Co. Incorporated. Bao chau Klemm is currently registered in California for both securities and investment advisory services. Bao chau Klemm also holds licenses in Nevada. Bao chau Klemm has completed the Series 65, Series 63, Series 9, Series 10, Series 8, Series 99TO, SIE and Series 7 exams.

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. 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.

check

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.

check

fixed fees

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

check

other

Referral fees

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

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)

Not sure if Bao chau Le Klemm is right for you?

Licenses & Designations

IA

Issued 12/29/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/23/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/10/1995

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

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/28/1995

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.
Not sure if Bao chau Le Klemm is right for you?