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Donald Andrew Doherty

Northwestern Mutual Investment Services, LLC

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About Donald Andrew Doherty

Firm Information

Donald Doherty 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

14 E 2nd St

FORT SCOTT, KS 66701

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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Donald Doherty’s Registration & Firm History

KS

09/25/2012 - Present

Northwestern Mutual Investment Services, LLC (FORT SCOTT KS)

KS

12/01/1999 - 09/15/2006

NEW ENGLAND SECURITIES (PITTSBURG KS)

NE

01/05/1999 - 11/04/1999

AMERITAS INVESTMENT CORP. (LINCOLN NE)

IN

10/01/1997 - 12/31/1998

JEFFERSON PILOT SECURITIES CORPORATION (FORT WAYNE IN)

IN

03/14/1995 - 10/01/1997

JEFFERSON-PILOT INVESTOR SERVICES, INC. (FORT WAYNE IN)

WI

07/09/1993 - 12/20/1994

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

WI

11/14/1984 - 12/20/1994

NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)

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Licenses & Designations

BC

Issued 11/6/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/24/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Donald Andrew Doherty.
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