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Brett Carson

Northwestern Mutual Investment Services, LLC

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About Brett Carson

Brett Carson is a financial advisor based in Omaha, Nebraska. Brett is registered with the state of Nebraska as both an investment advisor and a broker-dealer. Brett has been in the financial services industry for over 20 years, and holds several licenses and certifications, including the Series 63, Series 65, Series 7 and Series 86 and 87. Brett is also a Chartered Financial Analyst (CFA). Brett currently works for Northwestern Mutual Investment Services, LLC. Brett’s previous employer was GARP Research & Securities Company in Baltimore, Maryland.

Firm Information

Brett Carson 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

9300 UNDERWOOD AVENUE

OMAHA, NE 68114

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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Brett Carson’s Registration & Firm History

NE

06/22/2023 - Present

Northwestern Mutual Investment Services, LLC (OMAHA NE)

MD

09/27/2004 - 11/29/2010

GARP RESEARCH & SECURITIES COMPANY (BALTIMORE MD)

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Licenses & Designations

BC

Issued 11/3/2023

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 3/26/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 9/1/2023

Series 7TO - General Securities Representative Examination

BC

Issued 3/10/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 2/4/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 9/24/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brett Carson.
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