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Lori Lynn barrows Smith

Northwestern Mutual Investment Services, LLC

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About Lori Lynn barrows Smith

Firm Information

Lori Smith 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

720 E Wisconsin Ave

Milwaukee, WI 53202

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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Lori Smith’s Registration & Firm History

WI

06/23/2023 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

GA

09/30/2022 - 05/04/2023

LPL FINANCIAL LLC (ALPHARETTA GA)

GA

12/17/2019 - 02/05/2021

BB&T SECURITIES, LLC (ATLANTA GA)

GA

03/18/2019 - 02/04/2021

TRUIST INVESTMENT SERVICES, INC. (ATLANTA GA)

GA

05/01/2006 - 10/05/2018

FSC SECURITIES CORPORATION (ATLANTA GA)

NJ

08/24/2005 - 10/31/2005

PRUCO SECURITIES, LLC. (NEWARK NJ)

MN

07/13/2005 - 09/10/2005

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

07/13/2005 - 09/10/2005

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 7/29/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 7/25/2006

Series 24 - General Securities Principal Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/12/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lori Lynn barrows Smith.
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