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Kevin Anthony Tarkington

Northwestern Mutual Investment Services, LLC

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About Kevin Anthony Tarkington

Kevin Anthony Tarkington is a financial professional with over 15 years of experience in the industry. Kevin has a Series 6 and Series 63 license and holds the SIE designation. Kevin currently works at Northwestern Mutual Investment Services, LLC, located in Franklin, Wisconsin. Kevin's previous experience includes roles at GWFS Equities, Inc., Ameriprise Financial Services, Inc., Primevest Financial Services, Inc., Intersecurities, Inc., and Banc One Securities Corporation. Kevin is registered in 21 states including Arizona, California, District of Columbia, Hawaii, Iowa, Minnesota, Missouri, Montana, Nevada, New Mexico, New York, North Carolina, North Dakota, Oregon, Rhode Island, South Dakota, Utah, Vermont, Washington, Wisconsin, and Wyoming.

Firm Information

Kevin Tarkington 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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Kevin Tarkington’s Registration & Firm History

WI

03/01/2013 - Present

Northwestern Mutual Investment Services, LLC (FRANKLIN WI)

WI

03/24/2011 - 05/09/2011

GWFS EQUITIES, INC. (GLENDALE WI)

MN

03/28/2007 - 08/27/2007

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

07/13/2004 - 08/31/2005

PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)

FL

04/14/2003 - 08/19/2003

INTERSECURITIES, INC. (ST. PETERSBURG FL)

IL

07/03/1996 - 01/17/2001

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

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Licenses & Designations

BC

Issued 09/08/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/23/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Kevin Anthony Tarkington. Review regulatory record here.
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