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Mark Alan Vanwagenen

Northwestern Mutual Investment Services, LLC

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About Mark Alan Vanwagenen

Mark Vanwagenen is a financial advisor based in PROVO, UT, and is associated with Northwestern Mutual Investment Services, LLC. Mark has been in the industry since April 1997 and has held previous roles at ROBERT W. BAIRD & CO. INCORPORATED and MARQUETTE FINANCIAL GROUP, INC.. Mark has a broad range of experience and holds multiple licenses and certifications, including Series 63, 65, 7, 9, 10, and SIE. Mark is registered to provide investment advice and securities in 21 states.

Firm Information

Mark Vanwagenen 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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Mark Vanwagenen’s Registration & Firm History

UT

11/08/2001 - Present

Northwestern Mutual Investment Services, LLC (PROVO UT)

WI

11/08/2001 - 01/01/2002

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

MN

04/08/1997 - 10/18/2001

MARQUETTE FINANCIAL GROUP, INC. (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 11/23/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/21/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/05/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/26/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/07/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark Alan Vanwagenen.
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