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Jay Dee Courtney

Northwestern Mutual Investment Services, LLC

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About Jay Dee Courtney

Jay Dee Courtney is a financial advisor who has been in the industry since 1999. Jay is currently registered as a Registered Representative (RR) and Investment Advisor Representative (IAR) with Northwestern Mutual Investment Services, LLC. Jay is registered in 45 states and the District of Columbia. Jay is also registered as an IAR in Texas. Prior to joining Northwestern Mutual Investment Services, LLC, Jay was registered as a Broker and Investment Advisor with Robert W. Baird & Co. Incorporated. Jay has a Series 6, 7, 63 and 65 licenses. In addition to his financial advisory work, Jay is also involved in several other businesses. Jay is a 33.34% owner of Courtney Asel Meredith, LLC, a 100% owner of Courtney Real Estate LLC, and a 100% owner of Jay Courtney, LLC. Jay also has a passive investment in YoungerPartners.

Firm Information

Jay Courtney is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

Macarthur Ctr II Ste 600

IRVING, TX 75038

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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Jay Courtney’s Registration & Firm History

TX

05/21/2014 - Present

Northwestern Mutual Investment Services, LLC (IRVING TX)

WI

07/23/1999 - 01/01/2002

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

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Licenses & Designations

IA

Issued 5/9/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 7/22/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/2016

Series 7 - General Securities Representative Examination

BC

Issued 7/22/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Jay Dee Courtney. Review regulatory record here.
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