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Michael Patrick Whalen

Northwestern Mutual Investment Services, LLC

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About Michael Patrick Whalen

Michael Whalen is a financial professional with over 40 years of experience in the industry. Michael is currently registered with Northwestern Mutual Investment Services, LLC, and has been since September 24, 1982. Michael previously worked for Robert W. Baird & Co. Incorporated and Anchor National Financial Services, Inc. Michael holds a Series 6, Series 22, Series 63, and SIE license. Michael is registered with the state of Arizona, California, Colorado, Florida, Georgia, Kentucky, Maryland, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Texas, Virginia, and Washington.

Firm Information

Michael Whalen 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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Michael Whalen’s Registration & Firm History

FL

09/24/1982 - Present

Northwestern Mutual Investment Services, LLC (FT LAUDERDALE FL)

WI

10/05/1987 - 01/01/2002

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

NA

06/18/1984 - 12/18/1986

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

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Licenses & Designations

BC

Issued 02/12/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/20/1987

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 09/23/1982

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 Patrick Whalen.
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