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Lorne A Adrain

Northwestern Mutual Investment Services, LLC

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About Lorne A Adrain

Lorne Adrain is a financial advisor with Northwestern Mutual Investment Services, LLC based in Providence, RI. Lorne has been working in the financial industry since November 2, 1998. Lorne is registered with the state of Rhode Island as both a broker-dealer and an investment advisor, and also holds Series 6, 63 and 65 licenses. Lorne has experience working for both Northwestern Mutual Investment Services and Robert W. Baird & Co. Incorporated.

Firm Information

Lorne Adrain 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

275 PROMENADE STREET

PROVIDENCE, RI 02908

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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Lorne Adrain’s Registration & Firm History

RI

11/02/2015 - Present

Northwestern Mutual Investment Services, LLC (PROVIDENCE RI)

RI

01/06/1997 - 03/01/2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (PROVIDENCE RI)

WI

01/06/1997 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BC

Issued 10/1/2015

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 11/16/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/11/2015

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lorne A Adrain.
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