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Douglas Hafemann

Northwestern Mutual Investment Services, LLC

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About Douglas Hafemann

Douglas Hafemann is a financial professional with over 20 years of experience in the industry. Douglas is currently registered with Northwestern Mutual Investment Services, LLC and holds a Series 7, 63, 55, SIE, and 57TO license. Douglas specializes in investment research, referrals to other advisors, and portfolio management for individuals and businesses. Douglas has also worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Robert W. Baird & Co. Incorporated, William Blair & Company L.L.C., and Andersen Corporate Finance LLC.

Firm Information

Douglas Hafemann 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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Douglas Hafemann’s Registration & Firm History

WI

02/07/2024 - Present

Northwestern Mutual Investment Services, LLC (Waukesha WI)

WI

04/01/2020 - 05/30/2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WAUKESHA WI)

WI

03/26/2012 - 09/06/2019

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

IL

06/11/2010 - 04/03/2012

WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)

WI

05/06/2002 - 05/24/2010

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

TX

05/24/2001 - 03/20/2002

ANDERSEN CORPORATE FINANCE LLC (HOUSTON TX)

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Licenses & Designations

IA

Issued 06/23/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/18/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/19/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/27/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Hafemann.
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