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David Joseph Spiess

Northwestern Mutual Investment Services, LLC

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About David Joseph Spiess

David Spiess is a financial advisor with Northwestern Mutual Investment Services, LLC, based in Omaha, Nebraska. David has been in the financial services industry since 1996 and is licensed in Nebraska. David has experience providing investment advice to individuals, families, and businesses. David previously worked at CHARLES SCHWAB & CO., INC. David holds several industry certifications, including Series 7, Series 9, Series 10, and Series 63 and 66. David is committed to helping clients achieve their financial goals.

Firm Information

David Spiess 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 Spiess’s Registration & Firm History

NE

03/03/2021 - Present

Northwestern Mutual Investment Services, LLC (OMAHA NE)

NE

05/20/2003 - 10/08/2019

CHARLES SCHWAB & CO., INC. (Omaha NE)

TX

02/05/1996 - 12/31/2002

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 12/21/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/05/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/24/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/24/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/23/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for David Joseph Spiess. Review regulatory record here.
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