Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Anderson is a registered representative with Northwestern Mutual Investment Services, LLC. Brian has been in the financial services industry for 19 years, having started in June 2004. Brian has passed the General Securities Representative Examination (Series 7), Uniform Securities Agent State Law Examination (Series 63), Uniform Combined State Law Examination (Series 66), Municipal Securities Representative Examination (Series 52TO), Operations Professional Examination (Series 99TO), and the Securities Industry Essentials Examination (SIE). Brian is a registered principal for the Series 4, Series 24, and Series 53 exams. Brian is licensed to offer investment advice in 51 states. Brian’s previous employers include Lincoln Investment, and Fifth Third Securities, Inc.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
OH
08/16/2018 - Present
Northwestern Mutual Investment Services, LLC (CINCINNATI OH)
PA
08/09/2011 - 05/04/2018
LINCOLN INVESTMENT (Fort Washington PA)
OH
08/17/2005 - 07/29/2011
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
RI
06/25/2004 - 07/01/2005
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 12/05/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/30/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/06/2018
Series 4 - Registered Options Principal Examination
BC
Issued 06/26/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/08/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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