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Matthew Lee Baumgartner

Northwestern Mutual Investment Services, LLC

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About Matthew Lee Baumgartner

Matthew Baumgartner is a financial advisor with Northwestern Mutual Investment Services, LLC in Bismarck, North Dakota. Matthew has been working in the financial services industry since 2011 and is registered with the state of North Dakota as an Investment Advisor Representative. Matthew is also registered with the state of Minnesota, as well as 10 other states, and has earned his Series 7, 63, 65, 86, and 87 securities licenses. Matthew is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

Matthew Baumgartner 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

1022 E DIVIDE AVE STE B

BISMARCK, ND 58501

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 Baumgartner’s Registration & Firm History

ND

10/05/2015 - Present

Northwestern Mutual Investment Services, LLC (BISMARCK ND)

MN

09/09/2011 - 10/10/2014

CRAIG-HALLUM CAPITAL GROUP LLC (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 9/28/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 9/16/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/24/2012

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/18/2011

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 9/8/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Matthew Lee Baumgartner.
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