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Kelvern Chen

Northwestern Mutual Investment Services, LLC

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About Kelvern Chen

Kelvern Chen is a financial advisor who has been in the industry since February 9, 2015. Kelvern Chen is currently registered with Northwestern Mutual Investment Services, LLC and is a Registered Representative in New Jersey and New York. Prior to joining Northwestern Mutual Investment Services, LLC Kelvern Chen has worked with other firms such as TD Ameritrade, Inc., Santander Securities LLC, and CommunityAmerica Financial Solutions, LLC. Kelvern Chen has Series 6, 7, 63 and 66 licenses. Kelvern Chen has the Certified Financial Planner designation.

Firm Information

Kelvern Chen 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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Kelvern Chen’s Registration & Firm History

NY

09/17/2021 - Present

Northwestern Mutual Investment Services, LLC (New York NY)

NY

07/23/2020 - 07/14/2021

TD AMERITRADE, INC. (NEW YORK NY)

NY

03/13/2019 - 07/07/2020

SANTANDER SECURITIES LLC (BROOKLYN NY)

NY

04/30/2018 - 01/18/2019

COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC (New York NY)

NY

05/20/2016 - 05/01/2018

RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)

NY

07/23/2015 - 05/04/2016

TD AMERITRADE, INC. (FOREST HILLS NY)

NJ

09/15/2014 - 07/16/2015

NATIONAL PLANNING CORPORATION (EAST BRUNSWICK NJ)

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Licenses & Designations

BOTH

Issued 07/30/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/29/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/04/2015

Series 7 - General Securities Representative Examination

BC

Issued 09/15/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kelvern Chen. Review regulatory record here.
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