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Duane Robert Merchant

Northwestern Mutual Investment Services, LLC

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About Duane Robert Merchant

Duane Robert Merchant is a financial professional with over two decades of experience in the industry. Duane is currently registered with Northwestern Mutual Investment Services, LLC and is located in BOCA RATON, FL. Duane has a wide range of experience working with several firms, including Dreyfus Service Corporation, Prime Charter Ltd., and GKN Securities Corp. Duane is dedicated to helping clients achieve their financial goals.

Firm Information

Duane Merchant 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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Duane Merchant’s Registration & Firm History

FL

04/18/2015 - Present

Northwestern Mutual Investment Services, LLC (BOCA RATON FL)

CA

03/23/2007 - 06/22/2007

AULT GLAZER & CO., LLC (TUSTIN CA)

NY

04/25/2001 - 04/18/2005

DREYFUS SERVICE CORPORATION (NEW YORK NY)

NY

06/21/1999 - 04/17/2001

PRIME CHARTER LTD. (NEW YORK NY)

NY

08/02/1996 - 07/01/1999

GKN SECURITIES CORP. (NEW YORK NY)

NY

08/16/1994 - 08/08/1996

GRUNTAL & CO. INCORPORATED (NEW YORK NY)

NJ

05/19/1993 - 08/23/1994

DONALD & CO. SECURITIES INC. (TINTON FALLS NJ)

FL

07/17/1992 - 06/01/1993

SOVEREIGN EQUITY MANAGEMENT CORP. (DEERFIELD BEACH FL)

NA

11/07/1991 - 07/29/1992

J. W. GANT & ASSOCIATES, INC.

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Licenses & Designations

BOTH

Issued 08/17/2015

Series 66 - Uniform Combined State Law Examination

IA

Issued 08/06/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/13/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/18/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Duane Robert Merchant. Review regulatory record here.
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