Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Katz is a financial advisor with Northwestern Mutual Investment Services, LLC. David has been in the financial industry since February 22, 1990. David is registered with FINRA and holds Series 6, 7, 63, and 66 licenses. David is also registered with the state of California. David has previously worked for Robert W. Baird & Co. Incorporated. David is experienced in providing investment advice and financial planning services to individuals and businesses.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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CA
02/23/1990 - Present
Northwestern Mutual Investment Services, LLC (LOS ANGELES CA)
WI
02/23/1990 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 12/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/2003
Series 7 - General Securities Representative Examination
BC
Issued 02/20/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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