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Michael Charles Burroughs

Northwestern Mutual Investment Services, LLC

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About Michael Charles Burroughs

Michael Burroughs is a financial advisor with Northwestern Mutual Investment Services, LLC, a firm that offers investment advisory services to individuals, insurance companies, charitable organizations and high-net-worth individuals. Michael has been in the financial industry since February 25, 2005. Michael’s prior experience includes working with Principal Securities, Inc., GWFS Equities, Inc., U.S. Bancorp Investments, Inc., and Firstar Investment Services, Inc. Michael holds the Series 6, 7, 63, and 65 licenses. He is also a Registered Representative and Investment Adviser Representative in the state of Wisconsin.

Firm Information

Michael Burroughs 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

720 E Wisconsin Ave

Milwaukee, WI 53202

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 Burroughs’s Registration & Firm History

WI

04/16/2021 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

WI

11/12/2019 - 03/05/2021

PRINCIPAL SECURITIES, INC. (WAUWATOSA WI)

WI

01/26/2016 - 12/21/2017

GWFS EQUITIES, INC. (Milwaukee WI)

WI

02/06/2008 - 11/21/2011

GWFS EQUITIES, INC. (GLENDALE WI)

MN

12/01/2001 - 07/26/2002

U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)

NJ

10/22/1998 - 12/01/2001

FIRSTAR INVESTMENT SERVICES,INC. (MORRIS PLAINS NJ)

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Licenses & Designations

BC

Issued 1/13/2016

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 2/27/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 6/2/2020

Series 7TO - General Securities Representative Examination

BC

Issued 12/21/2017

SIE - Securities Industry Essentials Examination

BC

Issued 1/26/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 9/14/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Charles Burroughs.
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