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Fred James O connor

Northwestern Mutual Investment Services, LLC

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About Fred James O connor

Fred O'Connor is a financial advisor who has been in the industry since 2001. Fred is currently registered with Northwestern Mutual Investment Services, LLC and has been with them since 2013. Fred also has a background in agriculture, managing two farms. Fred is also a board member of a non-profit organization, the 100 Club of Chicago, and serves as chairman of the Chairmen’s Advisory Council for the Big Shoulders Fund. Fred offers investment research and referrals to other advisors. Fred is also a member of the advisory board of Freshwater Advisors.

Firm Information

Fred O connor 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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Fred O connor’s Registration & Firm History

IL

06/11/2013 - Present

Northwestern Mutual Investment Services, LLC (Deerfield IL)

IL

06/04/1996 - 06/06/2000

AON SECURITIES CORPORATION (CHICAGO IL)

VA

08/24/1992 - 04/01/1996

FORTH FINANCIAL SECURITIES, CORPORATION (RICHMOND VA)

NY

10/22/1986 - 03/27/1991

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/10/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/26/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/25/2013

Series 7 - General Securities Representative Examination

BC

Issued 10/13/1988

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Fred James O connor.
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