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Kathleen G Dixon

Northwestern Mutual Investment Services, LLC

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About Kathleen G Dixon

Kathleen Dixon is an investment advisor representative and financial professional with over 20 years of experience in the financial services industry. Kathleen is registered with Northwestern Mutual Investment Services, LLC in Illinois. Kathleen specializes in working with clients on investment planning, asset allocation and retirement planning strategies. Prior to joining Northwestern Mutual Investment Services, LLC, Kathleen worked at a number of other firms including Bernardi Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Oppenheimer & Co. Inc. and CIBC World Markets Corp.

Firm Information

Kathleen Dixon 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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Kathleen Dixon’s Registration & Firm History

IL

03/29/2017 - Present

Northwestern Mutual Investment Services, LLC (CHICAGO IL)

IL

06/30/2016 - 01/25/2017

BERNARDI SECURITIES, INC. (NORTHFIELD IL)

IL

05/03/2016 - 05/17/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROLLING MEADOWS IL)

IL

01/03/2003 - 11/03/2015

OPPENHEIMER & CO. INC. (CHICAGO IL)

NY

06/29/1999 - 01/03/2003

CIBC WORLD MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/13/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/26/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/26/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/28/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kathleen G Dixon.
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