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Brian Patrick Carlson

Northwestern Mutual Investment Services, LLC

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About Brian Patrick Carlson

Brian Carlson is a financial advisor with over 14 years of experience in the financial services industry. Brian has been registered with Northwestern Mutual Investment Services, LLC since 2010. Brian is a registered Investment Advisor Representative in Iowa and holds a Series 6, Series 7, Series 26, Series 63, and Series 65 licenses. Brian also is registered with the Securities Industry Essentials (SIE) examination. Brian provides a variety of financial services, including investment research, investment advisory services and referrals to other advisors. Brian also earns 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 Carlson 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 Carlson’s Registration & Firm History

IA

06/15/2010 - Present

Northwestern Mutual Investment Services, LLC (W DES MOINES IA)

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Licenses & Designations

IA

Issued 06/12/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/12/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/30/2019

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/10/2015

Series 7 - General Securities Representative Examination

BC

Issued 06/19/2009

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 Patrick Carlson.
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