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Patrick B Bailey

Northwestern Mutual Investment Services, LLC

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About Patrick B Bailey

Patrick Bailey is a financial advisor with Northwestern Mutual Investment Services, LLC. Patrick has been in the financial industry since 2013. Patrick holds licenses for securities, insurance and a Uniform Combined State Law Examination. Patrick is registered to offer investment advice in Alabama, Arizona, California, Colorado, Georgia, Illinois, Indiana, Louisiana, Massachusetts, Missouri, New York, and Texas. In addition to financial advising, Patrick may also earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products. Patrick has previously worked for UBS Financial Services Inc. and LPL Financial LLC.

Firm Information

Patrick Bailey 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

1 RIVERWAY STE 900

HOUSTON, TX 77056

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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Patrick Bailey’s Registration & Firm History

TX

10/13/2015 - Present

Northwestern Mutual Investment Services, LLC (HOUSTON TX)

TX

04/09/2014 - 09/24/2015

UBS FINANCIAL SERVICES INC. (THE WOODLANDS TX)

TX

07/30/2013 - 03/26/2014

LPL FINANCIAL LLC (HOUSTON TX)

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Licenses & Designations

BOTH

Issued 9/11/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/30/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Patrick B Bailey.
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