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Brian Patrick Dillon

Northwestern Mutual Investment Services, LLC

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About Brian Patrick Dillon

Firm Information

Brian Dillon 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

601 UNION ST STE 2500

SEATTLE, WA 98101

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 Dillon’s Registration & Firm History

WA

05/14/2018 - Present

Northwestern Mutual Investment Services, LLC (SEATTLE WA)

WA

02/02/2016 - 06/15/2016

LPL FINANCIAL LLC (BELLEVUE WA)

WA

06/16/2011 - 12/21/2015

EATON VANCE DISTRIBUTORS, INC. (SEATTLE WA)

WA

12/22/2000 - 02/04/2008

RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS (TACOMA WA)

WA

12/17/1999 - 12/18/2000

SEATTLE-NORTHWEST SECURITIES CORPORATION (SEATTLE WA)

MN

07/15/1996 - 01/05/2000

GRIFFIN, KUBIK, STEPHENS & THOMPSON, INC. (MINNEAPOLIS MN)

MA

05/08/1996 - 06/13/1996

LONG GROVE TRADING CO. (BOSTON MA)

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Licenses & Designations

IA

Issued 5/12/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 7/28/2011

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 5/21/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/24/2013

Series 3 - National Commodity Futures Examination

BC

Issued 5/7/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian Patrick Dillon.
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