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John Bandy Garwood

Northwestern Mutual Investment Services, LLC

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About John Bandy Garwood

John Bandy Garwood is a financial advisor with Northwestern Mutual Investment Services, LLC. John has been in the industry since 1996 and has experience in various investment firms. John is registered as a Registered Representative in North Carolina. John currently works from the firm's office in Charlotte, North Carolina.

Firm Information

John Garwood 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

6235 Carnegie Blvd

CHARLOTTE, NC 28211

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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John Garwood’s Registration & Firm History

NC

10/01/2007 - Present

Northwestern Mutual Investment Services, LLC (CHARLOTTE NC)

NC

04/16/1998 - 10/05/2005

FIRST CITIZENS INVESTOR SERVICES, INC. (RALEIGH NC)

NC

05/16/1997 - 07/29/1998

UVEST INVESTMENT SERVICES (CHARLOTTE NC)

NY

03/21/1996 - 05/19/1997

J.C. BRADFORD & CO. (NEW YORK NY)

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Licenses & Designations

IA

Issued 3/25/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 4/8/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 3/20/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for John Bandy Garwood. Review regulatory record here.
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