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Dana Richard Barrows

Northwestern Mutual Investment Services, LLC

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About Dana Richard Barrows

Dana Richard Barrows is a financial professional who has been serving clients since 1982. Dana is registered with Northwestern Mutual Investment Services, LLC and has been with them since 2007. Previously Dana was registered with ROBERT W. BAIRD & CO. INCORPORATED. Dana is licensed to provide financial and investment advice in several states, including Connecticut, Florida, Massachusetts, New Jersey, New Mexico, New York, Rhode Island, South Dakota, and Vermont. Dana has passed the Series 6, 7, 63, and 65 exams and the SIE. Dana is a member of the Financial Industry Regulatory Authority (FINRA).

Firm Information

Dana Barrows 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

1 Monarch Pl Ste 2100

SPRINGFIELD, MA 01144

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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Dana Barrows’s Registration & Firm History

MA

01/03/2007 - Present

Northwestern Mutual Investment Services, LLC (SPRINGFIELD MA)

WI

10/20/1998 - 01/01/2002

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

WI

07/11/1995 - 07/29/1997

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

NA

01/27/1982 - 07/29/1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

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Licenses & Designations

IA

Issued 9/14/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 9/7/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/9/2006

Series 7 - General Securities Representative Examination

BC

Issued 1/20/1982

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dana Richard Barrows.
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