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Kevin Bruce Graham

Northwestern Mutual Investment Services, LLC

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About Kevin Bruce Graham

Kevin Bruce Graham is a financial advisor who has been in the industry since 1997. He is currently registered with Northwestern Mutual Investment Services, LLC. Graham has a wide range of experience and holds several licenses and certifications, including Series 63, Series 65, and Series 7. Graham is committed to providing personalized financial guidance and has been actively serving clients since 2007.

Firm Information

Kevin Graham is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

3438 PEACHTREE RD NE

ATLANTA, GA 30326

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 Graham’s Registration & Firm History

GA

09/06/2007 - Present

Northwestern Mutual Investment Services, LLC (ATLANTA GA)

FL

07/21/2005 - 08/03/2007

RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)

WI

02/25/2002 - 07/14/2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

NY

05/23/2000 - 02/04/2002

SALOMON SMITH BARNEY INC. (NEW YORK NY)

GA

04/21/1998 - 05/19/2000

FSC SECURITIES CORPORATION (ATLANTA GA)

FL

01/04/1997 - 03/24/1998

RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)

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Licenses & Designations

IA

Issued 5/20/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 4/30/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 7/21/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 7/21/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 4/22/1999

Series 4 - Registered Options Principal Examination

BC

Issued 4/25/1998

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kevin Bruce Graham.
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