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David Alan Knox

Northwestern Mutual Investment Services, LLC

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About David Alan Knox

David Knox is a financial advisor with over 28 years of experience in the industry. David is registered with Northwestern Mutual Investment Services, LLC, a broker-dealer with a focus on providing wealth management and investment solutions. David is licensed to provide investment advice in 45 states and the District of Columbia. David is also registered as an investment advisor representative in Tennessee. David has a strong track record of success in providing investment advice to individuals and families. David has a wide range of experience in various financial areas, including investment management, retirement planning, college savings planning and insurance. David is committed to providing clients with personalized financial advice that meets their specific needs and goals. David is also committed to providing excellent customer service and building long-term relationships with clients.

Firm Information

David Knox 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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David Knox’s Registration & Firm History

TN

08/10/2007 - Present

Northwestern Mutual Investment Services, LLC (NASHVILLE TN)

WI

09/05/1997 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 08/26/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/17/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/30/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/06/2000

Series 7 - General Securities Representative Examination

BC

Issued 12/23/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for David Alan Knox. Review regulatory record here.
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