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Caleb Kenton Brown

Northwestern Mutual Investment Services, LLC

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About Caleb Kenton Brown

Caleb Kenton Brown is an investment advisor representative with Northwestern Mutual Investment Services, LLC. Caleb is registered with the state of Washington as an investment advisor representative and as a broker. Caleb has been in the securities industry since 2013. Caleb has passed exams related to investment company products, general securities, and securities industry essentials. Caleb is also a registered representative with FINRA. Caleb's firm is Northwestern Mutual Investment Services, LLC.

Firm Information

Caleb Brown 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

2115 N 30th St Ste 102

Tacoma, WA 98403

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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Caleb Brown’s Registration & Firm History

WA

04/25/2014 - Present

Northwestern Mutual Investment Services, LLC (Tacoma WA)

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Licenses & Designations

IA

Issued 4/24/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 6/17/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/3/2017

Series 7 - General Securities Representative Examination

BC

Issued 4/29/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Caleb Kenton Brown.
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