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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 Northwestern Mutual Investment Services, LLC. John has been in the financial services industry since May 1999. John has worked at Robert W. Baird & Co. Incorporated prior to joining Northwestern Mutual Investment Services, LLC. John is licensed to offer investment advice in 16 states, including Tennessee, Alabama, Florida, and Texas. John holds Series 6, 7, 26, 63, and 65 licenses and the SIE exam. John is also a Registered Representative. John is located in Murfreesboro, TN.

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 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

209 CASTLEWOOD DR

MURFREESBORO, TN 37129

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 9/29/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/24/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 2/20/2007

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/17/2006

Series 7 - General Securities Representative Examination

BC

Issued 5/17/1999

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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