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Brandon S Smith

Northwestern Mutual Investment Services, LLC

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About Brandon S Smith

Brandon Smith is a financial advisor with Northwestern Mutual Investment Services, LLC. Brandon has been in the securities industry since 2004. Brandon has a Series 6, 7, 63 and 65 license. Brandon is registered with FINRA and the state of Ohio. Brandon also works as the Treasurer for Scott Consulting. Brandon has over 20 years of experience in the financial services industry. Brandon provides investment research, referrals to other advisors and works with clients to achieve their financial goals.

Firm Information

Brandon Smith 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

1349 W Lane Ave

Upper Arlington, OH 43221

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 Smith’s Registration & Firm History

OH

09/10/2013 - Present

Northwestern Mutual Investment Services, LLC (Upper Arlington OH)

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Licenses & Designations

BC

Issued 4/1/2016

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 9/7/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/21/2016

Series 7 - General Securities Representative Examination

BC

Issued 9/9/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Brandon S Smith. Review regulatory record here.
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