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David Lowrey Houston

Northwestern Mutual Investment Services, LLC

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About David Lowrey Houston

David Lowrey Houston is a financial advisor who has been in the industry since November 1993. David Lowrey Houston is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since June 2009. David Lowrey Houston has previously worked with ROBERT W. BAIRD & CO. INCORPORATED and NATHAN & LEWIS SECURITIES, INC.. David Lowrey Houston holds the Series 6, Series 7, and Series 66 licenses and the SIE exam. David Lowrey Houston is also licensed in multiple states, including Oklahoma, Arkansas, California, Colorado, Florida, Georgia, Idaho, Kansas, Michigan, Missouri, Nebraska, New Mexico, New York, North Carolina, Ohio, South Carolina, Texas, and Washington.

Firm Information

David Houston 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

6301 WATERFORD BLVD

OKLAHOMA CITY, OK 73118

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 Houston’s Registration & Firm History

OK

06/30/2009 - Present

Northwestern Mutual Investment Services, LLC (OKLAHOMA CITY OK)

WI

10/09/2001 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NY

05/20/1999 - 10/09/2001

NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)

WI

04/27/1995 - 03/28/1996

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 9/14/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 9/17/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/29/2006

Series 7 - General Securities Representative Examination

BC

Issued 11/15/1993

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 Lowrey Houston.
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