Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dana? Claim Your ProfileDana Frederick Potts is an investment advisor representative with Northwestern Mutual Investment Services, LLC. Dana has been in the industry since 1981 and has a broad range of experience, having worked previously with Robert W. Baird & Co. Incorporated. Dana holds the Series 6, Series 7, and Series 63 licenses, as well as the SIE exam and the Uniform Investment Adviser Law Examination. Dana is also a Chartered Financial Consultant. Dana specializes in providing investment research and referrals to other advisors.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
IL
10/30/2002 - Present
Northwestern Mutual Investment Services, LLC (HINSDALE IL)
WI
05/09/1986 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 06/01/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
BC
Issued 09/02/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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