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Brian James Howard

Northwestern Mutual Investment Services, LLC

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About Brian James Howard

Brian James Howard is a financial advisor based in Milwaukee, WI. Brian is registered with Northwestern Mutual Investment Services, LLC and has been in the financial services industry since July 18, 2000. Brian has held previous roles with ROBERT W. BAIRD & CO. INCORPORATED and Mitchell B Glover. Brian holds a Series 63, 65, 7, 9, and 10 licenses. Brian is also a licensed insurance agent. Brian is a freelance writer and may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products.

Firm Information

Brian Howard 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

720 E Wisconsin Ave

Milwaukee, WI 53202

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 Howard’s Registration & Firm History

WI

11/04/2021 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

WI

07/19/2000 - 01/01/2002

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

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Licenses & Designations

IA

Issued 10/18/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/9/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 8/9/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 7/10/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/18/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Brian James Howard. Review regulatory record here.
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