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Charles Robert Pruett

Northwestern Mutual Investment Services, LLC

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About Charles Robert Pruett

Charles Robert Pruett is a registered representative with Northwestern Mutual Investment Services, LLC. Charles has been in the securities industry since 1991. Charles is licensed in all states and holds several securities licenses including the Series 6, 7, 9, 10, 12, 63, and 65 exams. Prior to joining Northwestern Mutual Investment Services, LLC, Charles was a registered representative with Robert W. Baird & Co. Incorporated. Charles specializes in providing investment advice and financial planning services.

Firm Information

Charles Pruett 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

1600 DIVISION ST Ste 400

NASHVILLE, TN 37203

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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Charles Pruett’s Registration & Firm History

TN

01/23/2004 - Present

Northwestern Mutual Investment Services, LLC (NASHVILLE TN)

WI

05/02/1997 - 01/01/2002

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

NA

07/15/1991 - 02/28/1992

HOME LIFE INSURANCE COMPANY

CT

07/15/1991 - 02/28/1992

W. S. GRIFFITH & CO., INC. (HARTFORD CT)

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Licenses & Designations

IA

Issued 11/30/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/29/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/11/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/5/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 6/24/1997

Series 12 - NYSE Branch Manager Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/9/1999

Series 7 - General Securities Representative Examination

BC

Issued 7/12/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Charles Robert Pruett.
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