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Eric Daniel Finucane

Northwestern Mutual Investment Services, LLC

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About Eric Daniel Finucane

Eric Daniel Finucane is a financial advisor registered with Northwestern Mutual Investment Services, LLC. Eric has been in the industry since September 12, 2000. Eric is licensed to provide financial and investment services in Connecticut. Eric is a registered representative with FINRA. Eric has also held licenses to provide financial services in Arizona, California, Florida, Georgia, Indiana, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Vermont, Virginia, and Washington.

Firm Information

Eric Finucane 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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Eric Finucane’s Registration & Firm History

CT

03/12/2013 - Present

Northwestern Mutual Investment Services, LLC (WEST HARTFORD CT)

CT

06/15/2006 - 02/19/2013

LPL FINANCIAL LLC (AVON CT)

CT

04/02/2004 - 06/20/2006

NEWALLIANCE INVESTMENTS, INC. (VERNON CT)

CT

11/04/2002 - 04/01/2004

INFINEX INVESTMENTS, INC. (MERIDEN CT)

MO

10/01/2000 - 01/09/2001

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NC

02/12/1999 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

NY

09/03/1998 - 12/15/1998

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 03/27/2003

Series 66 - Uniform Combined State Law Examination

IA

Issued 08/20/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/13/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/18/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/21/1998

Series 31 - Futures Managed Funds Examination

BC

Issued 08/06/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Eric Daniel Finucane.
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