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David Alan Higgins

Northwestern Mutual Investment Services, LLC

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About David Alan Higgins

David Alan Higgins is a financial advisor with Northwestern Mutual Investment Services, LLC. David has been working in the financial industry since 2011, and has offices in Houston, TX. David specializes in providing investment advice and referrals to other advisors.

Firm Information

David Higgins 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

1250 Wood Branch Park Dr

Houston, TX 77079

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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David Higgins’s Registration & Firm History

TX

05/04/2015 - Present

Northwestern Mutual Investment Services, LLC (Houston TX)

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Licenses & Designations

IA

Issued 4/22/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/8/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 9/12/2016

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 3/14/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/16/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Alan Higgins.
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