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John Benjamin Phillips

Northwestern Mutual Investment Services, LLC

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About John Benjamin Phillips

John Phillips is a financial advisor with over 23 years of experience in the financial services industry. John's professional career began in 1999 with Robert W. Baird & Co. Incorporated where John worked for 3 years. John currently holds a Series 6, 7, 26, 63, and 65 licenses and is registered to provide investment advice in 16 states including Tennessee, Alabama, Arkansas, Colorado, Florida, Georgia, Kentucky, Louisiana, Mississippi, North Carolina, Ohio, Oregon, Pennsylvania, Texas, and Virginia. John is currently employed by Northwestern Mutual Investment Services, LLC and works out of their Murfreesboro office. In addition to providing investment advice, John also provides referrals to other advisors, conducts investment research, and offers other services to clients.

Firm Information

John Phillips 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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John Phillips’s Registration & Firm History

TN

08/30/2007 - Present

Northwestern Mutual Investment Services, LLC (MURFREESBORO TN)

WI

05/18/1999 - 01/01/2002

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

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Licenses & Designations

IA

Issued 09/29/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/24/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/20/2007

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/17/2006

Series 7 - General Securities Representative Examination

BC

Issued 05/17/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Benjamin Phillips.
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