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John Bandy Garwood

Northwestern Mutual Investment Services, LLC

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About John Bandy Garwood

John Garwood is an Investment Advisor Representative at Northwestern Mutual Investment Services, LLC. He has been in the industry since April 1996 and currently is registered with the state of North Carolina as a Broker-Dealer and Investment Advisor. John's previous employment includes roles at First Citizens Investor Services, Inc., UVEST Investment Services, and J.C. Bradford & Co.. John has passed the Series 7, Series 63, and Series 65 examinations. John is also the owner of two legal entities, Mountaineerdeac, LLC and JBG Group, LLC, that are investment related.

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. 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

2,341

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 03/25/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/08/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/20/1996

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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