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Brian Shaper

Northwestern Mutual Investment Services, LLC

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About Brian Shaper

Brian Shaper is a financial advisor with Northwestern Mutual Investment Services, LLC. Brian has been in the industry since December 27, 2004. Brian is registered as an investment advisor representative in New Jersey. Brian is also registered with FINRA as a registered representative. Brian holds the Series 7, Series 9, Series 10, Series 63 and Series 66 licenses. Brian has been with Northwestern Mutual Investment Services, LLC since October 19, 2021. Before that, Brian was with Lincoln Investment Planning, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Brian Shaper 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 Shaper’s Registration & Firm History

NJ

10/19/2021 - Present

Northwestern Mutual Investment Services, LLC (MOUNT LAUREL NJ)

PA

02/28/2018 - 09/09/2021

LINCOLN INVESTMENT (Fort Washington PA)

NJ

06/06/2006 - 02/26/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)

PA

01/20/2005 - 06/01/2006

LINCOLN INVESTMENT PLANNING, INC. (JENKINTOWN PA)

NY

05/14/2004 - 07/08/2004

AXA ADVISORS, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/10/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/23/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/12/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/19/2012

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/13/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian Shaper.
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