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Donald Bruce Brown

Northwestern Mutual Investment Services, LLC

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About Donald Bruce Brown

Donald Bruce Brown is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Donald has been in the securities industry since October 26, 1987. Donald is also registered with the state of Virginia as an investment advisor representative and a securities agent. Donald is a registered representative with FINRA and has been approved for registration with the state of Virginia. Donald holds Series 63, 65, 7 and SIE licenses. Donald's primary branch office location is in Williamsburg, VA, but Donald also maintains offices in Milwaukee, WI, and other locations throughout the United States. Donald is a Registered Representative with FINRA. Donald has worked with several firms throughout his career including Robert W. Baird & Co. Incorporated, J. W. Gant & Associates, Inc., and Sherwood Capital, Inc.

Firm Information

Donald Brown 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

5360 Discovery Park Blvd

Williamsburg, VA 23188

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 Brown’s Registration & Firm History

VA

03/29/2010 - Present

Northwestern Mutual Investment Services, LLC (Williamsburg VA)

WI

08/03/1988 - 01/01/2002

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

NA

02/12/1988 - 03/07/1988

J. W. GANT & ASSOCIATES, INC.

NA

06/01/1987 - 02/13/1988

SHERWOOD CAPITAL, INC.

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Licenses & Designations

IA

Issued 3/26/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/8/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/16/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Donald Bruce Brown.
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