linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

David Lester Thomas

Northwestern Mutual Investment Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you David? Claim Your Profile

About David Lester Thomas

David Lester Thomas is a financial advisor with Northwestern Mutual Investment Services, LLC. David Thomas has been in the industry since 2013. David Thomas has a Series 6, Series 7, Series 63, and Series 65 license and is registered to provide investment advice in 21 states and the District of Columbia. David Thomas is a member of the Financial Industry Regulatory Authority (FINRA).

Firm Information

David Thomas 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

280 GRANITE RUN DR

LANCASTER, PA 17601

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.

check

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Referral fees

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

David Thomas’s Registration & Firm History

PA

03/07/2014 - Present

Northwestern Mutual Investment Services, LLC (LANCASTER PA)

Not sure if David Lester Thomas is right for you?

Licenses & Designations

IA

Issued 3/5/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/5/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/9/2014

Series 7 - General Securities Representative Examination

BC

Issued 11/21/2013

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 Lester Thomas.
Not sure if David Lester Thomas is right for you?