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Patrick Lawrence Toohers

Northwestern Mutual Investment Services, LLC

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About Patrick Lawrence Toohers

Patrick Lawrence Toohers is a financial advisor associated with Northwestern Mutual Investment Services, LLC. Patrick has been in the securities industry since 2016, holding a Series 7, Series 6, and Series 63 license. Patrick is registered to conduct securities business in Virginia and North Carolina. Patrick has experience with Raymond James & Associates, Inc. and Royal Alliance Associates, Inc. Patrick has a record of providing financial advice and planning to individuals, other investment advisers, and banking or thrift institutions.

Firm Information

Patrick Toohers 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

3901 WESTERRE PKWY

RICHMOND, VA 23233

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 Toohers’s Registration & Firm History

VA

09/14/2023 - Present

Northwestern Mutual Investment Services, LLC (RICHMOND VA)

VA

04/29/2021 - 07/28/2023

RAYMOND JAMES & ASSOCIATES, INC. (RICHMOND VA)

VA

01/10/2020 - 04/12/2021

ROYAL ALLIANCE ASSOCIATES, INC. (HENRICO VA)

NJ

08/12/2016 - 01/14/2020

ADP BROKER-DEALER, INC. (ROSELAND NJ)

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Licenses & Designations

IA

Issued 2/7/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 8/1/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/23/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/12/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Patrick Lawrence Toohers.
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