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David Alan Sheaffer

Northwestern Mutual Investment Services, LLC

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About David Alan Sheaffer

David Sheaffer is a financial professional with over 30 years of experience in the industry. David is a registered representative of Northwestern Mutual Investment Services, LLC and has held previous positions at Robert W. Baird & Co. Incorporated, Legg Mason Wood Walker, Incorporated, Mutual Service Corporation, Manequity, Inc., The Great-West Life Assurance Company, Morison Securities, Inc., Aetna Life Insurance and Annuity Company, and Penn Mutual Equity Services, Inc. David is also licensed to sell securities in Florida, Kentucky, Maryland, Minnesota, and Ohio.

Firm Information

David Sheaffer 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 Sheaffer’s Registration & Firm History

OH

11/05/1990 - Present

Northwestern Mutual Investment Services, LLC (WEST CHESTER OH)

WI

11/05/1990 - 01/01/2002

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

MD

04/17/1989 - 09/14/1990

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

MA

02/08/1989 - 05/18/1989

MUTUAL SERVICE CORPORATION (BOSTON MA)

MA

02/19/1988 - 02/11/1989

MANEQUITY, INC. (BOSTON MA)

NA

11/29/1984 - 04/04/1988

THE GREAT-WEST LIFE ASSURANCE COMPANY

NA

12/03/1986 - 03/01/1988

MORISON SECURITIES, INC.

NA

09/03/1985 - 12/22/1986

AETNA LIFE INSURANCE AND ANNUITY COMPANY

NA

12/02/1977 - 03/25/1985

PENN MUTUAL EQUITY SERVICES, INC.

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Licenses & Designations

BC

Issued 02/26/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/17/1989

Series 7 - General Securities Representative Examination

BC

Issued 11/22/1977

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Alan Sheaffer.
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