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Matthew Anthony Pemberton

Northwestern Mutual Investment Services, LLC

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About Matthew Anthony Pemberton

Matthew Pemberton is a financial professional with over 38 years of experience in the financial services industry. Matthew has been with Northwestern Mutual Investment Services, LLC since April 24, 1984. Prior to joining Northwestern Mutual Investment Services, LLC, Matthew worked at Robert W. Baird & Co. Incorporated and Pruco Securities Corporation. Matthew is registered with the Financial Industry Regulatory Authority (FINRA) and holds the following licenses: Series 6, Series 7, Series 22, Series 63 and Series 65. Matthew is also registered in 24 states to provide securities and investment advice.

Firm Information

Matthew Pemberton 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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Matthew Pemberton’s Registration & Firm History

TX

04/24/1984 - Present

Northwestern Mutual Investment Services, LLC (DALLAS TX)

WI

03/07/1984 - 01/01/2002

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

NA

10/12/1983 - 04/30/1984

PRUCO SECURITIES CORPORATION

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Licenses & Designations

IA

Issued 12/13/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/11/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/16/1999

Series 7 - General Securities Representative Examination

BC

Issued 03/30/1984

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 10/11/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Matthew Anthony Pemberton. Review regulatory record here.
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