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David Lucien Mann

Northwestern Mutual Investment Services, LLC

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About David Lucien Mann

David Lucien Mann is a financial advisor with over 45 years of experience in the industry. David Mann is currently registered with Northwestern Mutual Investment Services, LLC, and has previously worked with ROBERT W. BAIRD & CO. INCORPORATED. David Mann holds several licenses, including Series 66, 63, 12, 22TO, 6TO, SIE, 7, and 1. David Mann is registered in 20 states and has been providing financial advice to clients since 1977. David Mann is committed to providing his clients with personalized financial advice and guidance.

Firm Information

David Mann 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 Mann’s Registration & Firm History

IN

11/10/1977 - Present

Northwestern Mutual Investment Services, LLC (WABASH IN)

WI

02/06/1987 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 09/27/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/19/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/08/1992

Series 12 - NYSE Branch Manager Examination

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/24/2001

Series 7 - General Securities Representative Examination

BC

Issued 10/25/1977

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Lucien Mann.
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