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Lloyd W Day

Northwestern Mutual Investment Services, LLC

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About Lloyd W Day

Lloyd Day is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Lloyd has been in the securities industry since October 2004. Lloyd is licensed in Virginia and has a Series 7, Series 63, and Series 65 license. Lloyd works out of the Richmond, VA branch office. Lloyd has a history of working with other firms, including Northwestern Mutual Life Insurance Co., and John T. Everett. Lloyd also may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products. Lloyd is also the President of the Pi Kappa Alpha Alumni Association "Omicron Chapter". Lloyd's current employer has approximately $0 in regulatory assets under management. This information is current as of 2023-08-16. This information is provided as a courtesy, and is not intended to be a solicitation of business. Consult with a qualified professional before making any investment decisions.

Firm Information

Lloyd Day 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

3901 WESTERRE PKWY

RICHMOND, VA 23233

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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Lloyd Day’s Registration & Firm History

VA

02/25/2009 - Present

Northwestern Mutual Investment Services, LLC (RICHMOND VA)

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Licenses & Designations

IA

Issued 2/23/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/4/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/6/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lloyd W Day.
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