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Michael A Baker

Northwestern Mutual Investment Services, LLC

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About Michael A Baker

Michael Baker is a registered representative with Northwestern Mutual Investment Services, LLC. Michael has been in the financial industry since 2001. Michael has experience with IDS Life Insurance Company, Ameriprise Financial Services, Inc. and American Express Financial Advisors Inc. Michael currently holds Series 6, 7, 63 and 65 licenses.

Firm Information

Michael Baker 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

3600 Minnesota Dr

Edina, MN 55435

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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Michael Baker’s Registration & Firm History

MN

04/08/2016 - Present

Northwestern Mutual Investment Services, LLC (Edina MN)

MN

02/13/2001 - 09/19/2005

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

02/13/2001 - 09/19/2005

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

MN

11/02/2000 - 01/11/2001

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

11/02/2000 - 01/11/2001

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 5/11/2016

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 12/12/2007

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 4/19/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/19/2016

Series 7 - General Securities Representative Examination

BC

Issued 4/15/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael A Baker.
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