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David Carter Walther

Northwestern Mutual Investment Services, LLC

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About David Carter Walther

David Carter Walther is a financial advisor at Northwestern Mutual Investment Services, LLC. David has over 23 years of experience in the financial services industry, with a background that includes positions at Robert W. Baird & Co. Incorporated and Northwestern Mutual Life Insurance Company. David holds the Series 6, 7, 63 and 66 licenses and is registered with the state of California as an investment advisor representative. David is also registered in Arizona, Connecticut, District of Columbia, Florida, Hawaii, Idaho, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Michigan, Missouri, Nevada, New York, North Carolina, Ohio, Oregon, South Carolina, South Dakota, Tennessee, Texas, Washington, and Wisconsin as a broker. David's expertise lies in financial planning, investment research, and referrals to other advisors.

Firm Information

David Walther 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

1701 Novato Blvd Ste 303

Novato, CA 94947

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 Walther’s Registration & Firm History

CA

03/14/2007 - Present

Northwestern Mutual Investment Services, LLC (Novato CA)

WI

06/03/1999 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 2/26/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 5/7/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 2/5/2001

Series 7 - General Securities Representative Examination

BC

Issued 6/2/1999

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 Carter Walther.
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