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Jeffrey John O brien

Northwestern Mutual Investment Services, LLC

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About Jeffrey John O brien

Jeffrey John O brien is a financial advisor with Northwestern Mutual Investment Services, LLC located in Spokane Valley, Washington. Jeffrey John has been in the financial services industry since January 20, 2014. Jeffrey John has been registered with FINRA since October 7, 2022. Jeffrey John is also registered with the state of Washington, Idaho, Oregon, Arizona, Texas and Florida. Jeffrey John holds the Series 7, Series 63, Series 65, Series 24 and Series 53 licenses. Previously, Jeffrey John was registered with AXA Advisors, LLC and Invest Financial Corporation.

Firm Information

Jeffrey O brien 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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Jeffrey O brien’s Registration & Firm History

WA

10/07/2022 - Present

Northwestern Mutual Investment Services, LLC (Spokane Valley WA)

OK

07/20/2000 - 04/04/2008

AXA ADVISORS, LLC (OKLAHOMA CITY OK)

WI

02/24/1999 - 02/23/2000

INVEST FINANCIAL CORPORATION (APPLETON WI)

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Licenses & Designations

BC

Issued 11/19/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 02/02/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/27/2003

Series 53 - Municipal Securities Principal Examination

BC

Issued 08/09/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/07/2022

Series 7TO - General Securities Representative Examination

BC

Issued 08/27/2021

SIE - Securities Industry Essentials Examination

BC

Issued 02/23/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 43 public disclosures for Jeffrey John O brien. Review regulatory record here.
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