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David T Carruth

Northwestern Mutual Investment Services, LLC

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About David T Carruth

David Carruth is a financial advisor at Northwestern Mutual Investment Services, LLC with over 16 years of experience in the financial services industry. David is registered with the state of Utah and several other states as a broker-dealer and investment advisor representative. David has also previously worked for Fidelity Brokerage Services LLC and AXA Advisors, LLC. David is a Series 7, 63, and 66 licensed advisor.

Firm Information

David Carruth 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

5252 N Edgewood Dr

PROVO, UT 84604

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 Carruth’s Registration & Firm History

UT

08/09/2010 - Present

Northwestern Mutual Investment Services, LLC (PROVO UT)

UT

01/01/2008 - 09/02/2008

FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)

UT

07/25/2006 - 01/01/2008

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SALT LAKE CITY UT)

CA

03/06/2006 - 05/03/2006

AXA ADVISORS, LLC (GOLD RIVER CA)

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Licenses & Designations

BOTH

Issued 8/3/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 8/5/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 3/3/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David T Carruth.
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