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Brian Drew Sullivan

Northwestern Mutual Investment Services, LLC

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About Brian Drew Sullivan

Brian Sullivan is a financial professional with over 30 years of experience in the industry. Brian is a Registered Representative and Investment Advisor Representative with Northwestern Mutual Investment Services, LLC. Brian is a Certified Financial Planner™ and holds Series 7, Series 63, and Series 65 licenses. Brian has a strong background in providing financial planning, investment advice, and insurance services to individuals and families.

Firm Information

Brian Sullivan 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.

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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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Brian Sullivan’s Registration & Firm History

VA

11/06/2002 - Present

Northwestern Mutual Investment Services, LLC (RICHMOND VA)

WI

02/28/2000 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

MA

01/01/1998 - 12/13/1999

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NA

06/07/1993 - 01/01/1998

NATIONSSECURITIES

MA

04/07/1992 - 06/07/1993

NATIONSBANC SECURITIES, INC. (BOSTON MA)

NY

01/01/1992 - 04/06/1992

NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)

NA

09/24/1987 - 01/01/1992

SOVRAN INVESTMENT CORPORATION

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Licenses & Designations

IA

Issued 10/24/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/15/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/19/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian Drew Sullivan.
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