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Joseph Grant Guin

Northwestern Mutual Investment Services, LLC

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About Joseph Grant Guin

Joseph Grant Guin is a financial professional with over 30 years of experience in the financial services industry. Joseph has worked with Northwestern Mutual Investment Services, LLC since 1999. Prior to that, Joseph was registered with several other firms, including ROBERT W. BAIRD & CO. INCORPORATED, LINSCO/PRIVATE LEDGER CORP., LONG GROVE TRADING CO., and ROYAL ALLIANCE ASSOCIATES, INC. Joseph is licensed in Broker-Dealer and Investment Adviser capacities and currently holds Series 7, Series 63, and Series 65 securities registrations. Joseph has a broad base of experience advising both individuals and businesses.

Firm Information

Joseph Guin 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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Joseph Guin’s Registration & Firm History

IL

12/15/2003 - Present

Northwestern Mutual Investment Services, LLC (Lake Forest IL)

WI

12/03/1999 - 01/01/2002

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

SC

09/30/1998 - 11/05/1999

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

MA

02/05/1990 - 09/17/1998

LONG GROVE TRADING CO. (BOSTON MA)

AZ

11/19/1989 - 03/01/1990

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

NA

02/14/1989 - 11/19/1989

INTEGRATED RESOURCES EQUITY CORPORATION

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Licenses & Designations

IA

Issued 08/27/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/07/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/11/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Joseph Grant Guin. Review regulatory record here.
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