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Daniel Edward Gatien

Northwestern Mutual Investment Services, LLC

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About Daniel Edward Gatien

Daniel Edward Gatien is a financial advisor at Northwestern Mutual Investment Services, LLC. He has been a registered representative since 1998 and has experience in the securities industry. Daniel is a registered investment advisor and broker-dealer in Washington. He is licensed to sell insurance products in addition to offering financial planning services. Daniel has a strong background in investments and has experience working with a variety of clients, including high-net-worth individuals and institutions.

Firm Information

Daniel Gatien 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

601 UNION ST STE 2500

SEATTLE, WA 98101

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 Gatien’s Registration & Firm History

WA

10/30/2007 - Present

Northwestern Mutual Investment Services, LLC (SEATTLE WA)

MO

09/08/1998 - 11/11/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

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Licenses & Designations

IA

Issued 7/8/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 9/18/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/3/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Daniel Edward Gatien.
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