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Derek S Peterson

Northwestern Mutual Investment Services, LLC

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About Derek S Peterson

Derek Peterson is a financial advisor who has been in the industry since 1994. Derek is currently registered with Northwestern Mutual Investment Services, LLC. Derek has experience working with clients in Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, and Wisconsin. Derek specializes in providing financial advice to a variety of clients, including individuals, businesses, and institutions. Derek has a strong track record of success in helping his clients achieve their financial goals.

Firm Information

Derek Peterson 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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Derek Peterson’s Registration & Firm History

IL

01/02/2002 - Present

Northwestern Mutual Investment Services, LLC (LOMBARD IL)

WI

12/01/1994 - 06/23/2003

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

NY

05/17/1994 - 12/02/1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/13/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/30/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/16/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Derek S Peterson. Review regulatory record here.
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