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Michael R Thomas

Northwestern Mutual Investment Services, LLC

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About Michael R Thomas

Michael Thomas is a financial advisor with Northwestern Mutual Investment Services, LLC. Michael has been in the financial services industry since 2003 and has a strong track record of helping clients achieve their financial goals. Michael is registered to provide investment advice and sell securities in California, New York, Oregon and Washington. Michael is also a Series 7 and Series 63 licensed representative, and he holds the SIE designation.

Firm Information

Michael Thomas 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 Thomas’s Registration & Firm History

OR

07/08/2022 - Present

Northwestern Mutual Investment Services, LLC (Lake Oswego OR)

OR

05/05/2006 - 09/13/2007

KEY INVESTMENT SERVICES LLC (PORTLAND OR)

MN

08/26/2005 - 11/08/2005

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

CA

10/30/2003 - 08/05/2004

FARMERS FINANCIAL SOLUTIONS, LLC (WESTLAKE VILLAGE CA)

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Licenses & Designations

BC

Issued 08/11/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/14/2023

Series 7TO - General Securities Representative Examination

BC

Issued 07/08/2022

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 04/26/2022

SIE - Securities Industry Essentials Examination

BC

Issued 10/28/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael R Thomas. Review regulatory record here.
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