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Brian James Little

Northwestern Mutual Investment Services, LLC

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About Brian James Little

Brian Little is a financial advisor with over 30 years of experience in the financial services industry. Brian has held licenses since 1989 and holds Series 6, 7, 22 and 63 licenses, as well as the SIE exam. Brian is currently a registered representative of Northwestern Mutual Investment Services, LLC and is active in both the Broker-Dealer and Investment Adviser capacities. Prior to joining Northwestern Mutual Investment Services, LLC, Brian was with Robert W. Baird & Co. Incorporated. Brian is registered in 16 states and has worked with clients in a number of financial areas including banking and thrift institutions.

Firm Information

Brian Little 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 Little’s Registration & Firm History

OR

07/06/1989 - Present

Northwestern Mutual Investment Services, LLC (Lake Oswego OR)

WI

07/06/1989 - 01/01/2002

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

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Licenses & Designations

IA

Issued 12/20/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/18/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/16/2004

Series 7 - General Securities Representative Examination

BC

Issued 09/06/1989

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 07/05/1989

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian James Little.
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