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Daniel Clay Baker

Northwestern Mutual Investment Services, LLC

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About Daniel Clay Baker

Daniel Clay Baker is a financial advisor who has been in the industry since 1987. Daniel is a registered representative of Northwestern Mutual Investment Services, LLC in Houston, TX. Daniel is also a Registered Investment Advisor (RIA) and has worked for various firms over the years, including Massie Capital, LTD. and Salomon Smith Barney Inc. Daniel has obtained licenses for both securities and investment advising. Daniel is a Certified Financial Planner (CFP) and has a history of advising clients on a variety of investment strategies.

Firm Information

Daniel Baker 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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Daniel Baker’s Registration & Firm History

TX

04/09/2008 - Present

Northwestern Mutual Investment Services, LLC (HOUSTON TX)

TX

09/23/1996 - 09/05/2002

MASSIE CAPITAL, LTD. (FLOWERMOUND TX)

NY

01/08/2001 - 06/11/2002

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

05/21/1985 - 10/14/1994

CS FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/16/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/21/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/06/1985

Series 3 - National Commodity Futures Examination

BC

Issued 05/30/1985

Series 5 - Interest Rate Options Examination

BC

Issued 05/18/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Daniel Clay Baker.
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