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Nicholas Howard Davis

Northwestern Mutual Investment Services, LLC

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About Nicholas Howard Davis

Nicholas Howard Davis is a financial advisor with over 20 years of experience in the industry. Nicholas is currently registered with Northwestern Mutual Investment Services, LLC in Melville, NY. Prior to joining Northwestern Mutual, Nicholas worked at J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nicholas is also a Defensive Driving Instructor and owns a non-financial services business in West Hempstead, New York.

Firm Information

Nicholas Davis 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

400 BROADHOLLOW RD

MELVILLE, NY 11747

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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Nicholas Davis’s Registration & Firm History

NY

10/06/2022 - Present

Northwestern Mutual Investment Services, LLC (MELVILLE NY)

NY

03/03/2015 - 04/07/2021

J.P. MORGAN SECURITIES LLC (New York NY)

NY

08/18/2011 - 02/26/2015

J.P. MORGAN CLEARING CORP. (BROOKLYN NY)

NY

04/07/2014 - 04/21/2014

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

04/09/2008 - 02/09/2009

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

07/25/2005 - 03/11/2008

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

11/13/2000 - 07/14/2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

MO

09/01/1999 - 10/27/2000

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

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Licenses & Designations

IA

Issued 9/23/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/19/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 7/21/2021

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 6/21/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/31/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Howard Davis.
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