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Brandon Alan Neal

Northwestern Mutual Investment Services, LLC

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About Brandon Alan Neal

Brandon Neal is a financial professional with over 20 years of experience in the industry. Brandon has held several positions at prominent financial institutions, including J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Raymond James Financial Services, Inc. Brandon is currently registered with Northwestern Mutual Investment Services, LLC and is seeking to become an Investment Advisor Representative in Kentucky. Brandon holds Series 7, Series 63, and Series 65 licenses.

Firm Information

Brandon Neal 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

827 State St

BOWLING GREEN, KY 42101

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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Brandon Neal’s Registration & Firm History

KY

01/06/2024 - Present

Northwestern Mutual Investment Services, LLC (BOWLING GREEN KY)

KY

05/02/2017 - 04/08/2020

RAYMOND JAMES FINANCIAL SERVICES, INC. (DANVILLE KY)

KY

09/10/2015 - 04/24/2017

INVESTMENT PROFESSIONALS, INC. (BOWLING GREEN KY)

KY

02/14/2014 - 09/09/2015

CSSC BROKERAGE SERVICES, INC. (BOWLING GREEN KY)

KY

02/17/2012 - 01/16/2014

MORGAN STANLEY (LOUISVILLE KY)

KY

10/01/2008 - 02/22/2012

J.P. MORGAN SECURITIES LLC (LOUISVILLE KY)

KY

03/16/2007 - 10/01/2008

J.P. MORGAN SECURITIES INC. (BOWLING GREEN KY)

KY

10/16/2002 - 03/19/2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (BOWLING GREEN KY)

NY

08/08/2000 - 10/17/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

03/24/1999 - 08/04/2000

J.C. BRADFORD & CO. (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/15/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 4/23/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 3/23/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Brandon Alan Neal. Review regulatory record here.
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