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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 at Northwestern Mutual Investment Services, LLC. David has been in the financial services industry since 1995 and has a wide range of experience in helping clients with their financial needs. David is registered with FINRA and the state of Tennessee. David is a member of the Northwestern Mutual Investment Services, LLC team located in Nashville, Tennessee. David can assist with a variety of needs including investment research, referrals to other advisors and investment property management.

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 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

1600 DIVISION ST Ste 400

NASHVILLE, TN 37203

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 8/26/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/17/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 8/30/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/6/2000

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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