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Charles Walker Sullivan

Northwestern Mutual Investment Services, LLC

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About Charles Walker Sullivan

Charles Walker Sullivan is a financial professional with over 30 years of experience in the financial services industry. Charles has been registered with Northwestern Mutual Investment Services, LLC since December 2003. Charles is a registered investment advisor representative in Georgia. Charles is also registered with the following states: Alabama, Arizona, Colorado, Delaware, District of Columbia, Florida, Georgia, Louisiana, Maryland, Mississippi, New York, North Carolina, South Carolina, and Virginia. Charles has passed the Series 6, Series 63, and Series 65 exams. Charles is a member of the Financial Industry Regulatory Authority (FINRA) and is subject to FINRA's rules and regulations. Charles is also a member of the Securities Investor Protection Corporation (SIPC). Charles has a strong commitment to providing clients with personalized financial advice and investment solutions. Charles is committed to helping clients achieve their financial goals.

Firm Information

Charles Sullivan 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 Sullivan’s Registration & Firm History

GA

12/16/2003 - Present

Northwestern Mutual Investment Services, LLC (Atlanta GA)

WI

08/04/1992 - 01/01/2002

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

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Licenses & Designations

IA

Issued 12/01/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/22/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/15/1992

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 Walker Sullivan.
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