Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Andrew Broaddus is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Brian has been in the securities industry since 2007. Brian holds a Series 66, Series 7, and SIE license. Brian is registered to provide securities and investment advisory services in Arizona, California, Colorado, New Mexico, Texas, and Utah. Brian also works as a bookkeeper for an NM FR, where Brian's duties include statement reconciliation, issuing checks, and checking the accuracy of balance sheets.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
NM
01/30/2009 - Present
Northwestern Mutual Investment Services, LLC (ALBUQUERQUE NM)
BOTH
Issued 12/17/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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