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Chad Edwin Keaton

Northwestern Mutual Investment Services, LLC

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About Chad Edwin Keaton

Chad Edwin Keaton is a registered representative with Northwestern Mutual Investment Services, LLC. Chad has been in the financial industry since May 1995. Chad is licensed to offer investment products in 30 states and is an investment advisor representative in Tennessee. Chad is registered with FINRA and the State of Tennessee. In addition to Chad's work with Northwestern Mutual Investment Services, LLC., Chad is a board member for a non-profit organization and is involved in real estate investments.

Firm Information

Chad Keaton 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

110 TRIPLETT LN

KNOXVILLE, TN 37922

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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Chad Keaton’s Registration & Firm History

TN

06/05/2006 - Present

Northwestern Mutual Investment Services, LLC (KNOXVILLE TN)

WI

09/05/1997 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 6/1/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/17/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/5/2005

Series 7 - General Securities Representative Examination

BC

Issued 5/1/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Chad Edwin Keaton.
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