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Dawn Peeples

Northwestern Mutual Investment Services, LLC

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About Dawn Peeples

Dawn Peeples is a financial advisor with over 30 years of experience in the industry. Dawn is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since 2001. Prior to joining Northwestern Mutual Investment Services, LLC, Dawn worked at Robert W. Baird & Co. Incorporated and Nathan & Lewis Securities, Inc. Dawn holds the Series 6, SIE, and Series 63 licenses. Dawn is registered to provide financial advice in Alabama, Florida, Georgia, Mississippi, and South Carolina.

Firm Information

Dawn Peeples 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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Dawn Peeples’s Registration & Firm History

AL

06/08/1992 - Present

Northwestern Mutual Investment Services, LLC (BIRMINGHAM AL)

WI

02/06/2001 - 01/01/2002

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

NY

10/25/1999 - 12/31/2000

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

WI

03/18/1999 - 10/14/1999

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

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Licenses & Designations

BC

Issued 04/13/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/05/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dawn Peeples.
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