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Brian M Spaulding

Northwestern Mutual Investment Services, LLC

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About Brian M Spaulding

Brian Spaulding is a Registered Representative and Investment Advisor Representative. Brian has been in the industry since 2011. Brian is currently registered with Northwestern Mutual Investment Services, LLC in Milwaukee, Wisconsin. Brian has been with Northwestern Mutual Investment Services, LLC since March 2016. Brian previously worked with Scottrade, Inc., J.P. Morgan Securities LLC, Chase Investment Services Corp. and AXA Advisors, LLC.

Firm Information

Brian Spaulding 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 Spaulding’s Registration & Firm History

WI

04/09/2021 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

ID

07/09/2014 - 02/10/2016

SCOTTRADE, INC. (BOISE ID)

ID

10/01/2012 - 07/24/2014

J.P. MORGAN SECURITIES LLC (MERIDIAN ID)

ID

10/04/2011 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (BOISE ID)

ID

09/08/2010 - 12/15/2010

AXA ADVISORS, LLC (BOISE ID)

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Licenses & Designations

BOTH

Issued 11/04/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/13/2016

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/30/2016

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/07/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian M Spaulding.
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