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David Glen Gilbert

Northwestern Mutual Investment Services, LLC

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About David Glen Gilbert

David Gilbert is a financial advisor with Northwestern Mutual Investment Services, LLC. David has been in the financial services industry since 1997. David is registered with the state of Tennessee. David has a Series 7, Series 10, Series 9, Series 63 and Series 65 licenses.

Firm Information

David Gilbert 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

1770 KIRBY PKWY STE 400

MEMPHIS, TN 38138

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 Gilbert’s Registration & Firm History

TN

04/14/2005 - Present

Northwestern Mutual Investment Services, LLC (MEMPHIS TN)

RI

10/02/1997 - 11/05/2002

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

MN

05/16/1997 - 07/17/1997

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

05/16/1997 - 07/17/1997

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 4/12/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/19/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 6/5/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 5/30/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/15/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Glen Gilbert.
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