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David J Lindberg

Northwestern Mutual Investment Services, LLC

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About David J Lindberg

David Lindberg is a financial advisor with Northwestern Mutual Investment Services, LLC. David has been in the industry since December 2010. David has a Series 63 and Series 66 license. He is registered in Florida, Georgia, Illinois, Minnesota, North Carolina and Wisconsin. He is also registered as an Investment Advisor in Illinois. In addition to his role as a financial advisor, David may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products. David is a registered representative of Northwestern Mutual Investment Services, LLC and an investment advisor representative of Northwestern Mutual Wealth Management Company. David has worked for First Trust Portfolios LP, Northwestern Mutual Life Insurance Company, Northwestern Mutual Investment Services LLC, and Northwestern Mutual Wealth Management Company. David is also a registered representative of Northwestern Mutual Investment Services, LLC.

Firm Information

David Lindberg 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

2015 SPRING RD STE 100

OAK BROOK, IL 60523

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 Lindberg’s Registration & Firm History

IL

05/09/2018 - Present

Northwestern Mutual Investment Services, LLC (OAK BROOK IL)

IL

12/10/2010 - 04/27/2018

FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)

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Licenses & Designations

BOTH

Issued 8/21/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/23/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/9/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David J Lindberg.
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