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John Francis Baker

Northwestern Mutual Investment Services, LLC

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About John Francis Baker

John Francis Baker is a financial advisor with Northwestern Mutual Investment Services, LLC in West Hartford, CT. John has been in the financial services industry since 1998. John has a variety of licenses and registrations, including Series 63, 66, 7, 9, 10, 24, 4, 53, and SIE. John has been registered with Northwestern Mutual Investment Services, LLC since 2004. Before that John worked at Tower Square Securities, Inc. and Advest, Inc.

Firm Information

John Baker 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 Baker’s Registration & Firm History

CT

03/16/2004 - Present

Northwestern Mutual Investment Services, LLC (WEST HARTFORD CT)

CA

02/02/2000 - 11/07/2002

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

CT

12/18/1998 - 02/04/2000

ADVEST, INC. (HARTFORD CT)

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Licenses & Designations

BOTH

Issued 01/02/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/17/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/14/2000

Series 53 - Municipal Securities Principal Examination

BC

Issued 03/09/2000

Series 4 - Registered Options Principal Examination

BC

Issued 01/04/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/04/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/25/1999

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Francis Baker.
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