Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Daniel Rivers is a financial advisor with over 33 years of experience in the financial services industry. John currently works at Northwestern Mutual Investment Services, LLC in Louisville, KY. John has a broad range of experience in the industry and holds several licenses and certifications including Series 6, 7, 9, 10, 12, 63, 65, and 99TO. Prior to joining Northwestern Mutual Investment Services, LLC, John was a financial advisor at ROBERT W. BAIRD & CO. INCORPORATED. John is registered with the Financial Industry Regulatory Authority (FINRA) and holds securities licenses in 51 states and the District of Columbia.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
KY
10/06/1989 - Present
Northwestern Mutual Investment Services, LLC (LOUISVILLE KY)
WI
11/02/1989 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 12/04/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/23/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/11/1994
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1997
Series 7 - General Securities Representative Examination
BC
Issued 10/05/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure John Rivers is the right advisor for you? Invested Better is here to help.
