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Charles Robert Pruett

Northwestern Mutual Investment Services, LLC

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About Charles Robert Pruett

Charles Pruett is a financial professional with over 30 years of experience in the industry. He is registered with Northwestern Mutual Investment Services, LLC and has been with the firm since 2004. Charles has a wide range of experience in financial services, including investments, insurance, and retirement planning. He is committed to helping clients achieve their financial goals. Charles previously worked at Robert W. Baird & Co. Incorporated, Home Life Insurance Company, and W.S. Griffith & Co., Inc.

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. 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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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 11/05/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/24/1997

Series 12 - NYSE Branch Manager Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/09/1999

Series 7 - General Securities Representative Examination

BC

Issued 07/12/1991

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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