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Ian Maxwell Gordon

Northwestern Mutual Investment Services, LLC

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About Ian Maxwell Gordon

Ian Maxwell Gordon is an active investment professional with over 10 years of experience in the securities industry. Ian Gordon is currently registered with Northwestern Mutual Investment Services, LLC. He is licensed to provide financial services in all 50 states. His primary focus is on providing securities-related services to clients in the Irvine, CA area. Ian Gordon is a principal at the firm and has passed a number of securities exams including the Series 6, 7, 9, 10, 26, 63, and 99.

Firm Information

Ian Gordon 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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Ian Gordon’s Registration & Firm History

CA

03/14/2013 - Present

Northwestern Mutual Investment Services, LLC (Irvine CA)

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Licenses & Designations

BC

Issued 03/21/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/20/2021

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/11/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/24/2018

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/24/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/29/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/13/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Ian Maxwell Gordon. Review regulatory record here.
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