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Dave Alan Herring

Northwestern Mutual Investment Services, LLC

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About Dave Alan Herring

Dave Alan Herring is a financial advisor with over 29 years of experience in the industry. Dave is a registered representative of Northwestern Mutual Investment Services, LLC, and has been with the firm since March 4, 1994. Dave holds a Series 6, 7, 63, and 65 license, as well as the SIE exam. Dave is registered in thirteen states, including Alabama, Colorado, Florida, Georgia, Kentucky, Mississippi, New Mexico, North Carolina, Ohio, South Carolina, Tennessee, Texas, and Washington. Dave specializes in providing investment research, referrals to other advisors, and portfolio management for individuals.

Firm Information

Dave Herring 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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Dave Herring’s Registration & Firm History

AL

03/04/1994 - Present

Northwestern Mutual Investment Services, LLC (HOOVER AL)

WI

02/02/1999 - 01/01/2002

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

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Licenses & Designations

IA

Issued 12/30/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/24/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/2006

Series 7 - General Securities Representative Examination

BC

Issued 03/02/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dave Alan Herring.
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