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Peter John Warren

Northwestern Mutual Investment Services, LLC

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About Peter John Warren

Peter John Warren has been in the financial services industry since 1995 and is currently registered with Northwestern Mutual Investment Services, LLC. Peter is a licensed financial advisor in Rhode Island, New York and Wisconsin. Peter specializes in helping clients with investment research and referrals to other advisors.

Firm Information

Peter Warren 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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Peter Warren’s Registration & Firm History

RI

04/29/2014 - Present

Northwestern Mutual Investment Services, LLC (PROVIDENCE RI)

NY

05/25/2012 - 03/06/2014

AQUILA DISTRIBUTORS, INC. (NEW YORK NY)

ME

08/03/2009 - 10/28/2010

HIGHMARK FUNDS DISTRIBUTORS, INC. (PORTLAND ME)

WI

07/24/2003 - 07/21/2009

B. C. ZIEGLER AND COMPANY (MILWAUKEE WI)

NY

11/30/2001 - 07/17/2003

QUICK & REILLY, INC. (NEW YORK NY)

NY

10/06/1998 - 11/27/2001

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

CO

06/04/1998 - 10/06/1998

ENDEAVOR GROUP (DENVER CO)

NY

07/21/1993 - 07/29/1997

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

MA

06/22/1992 - 06/02/1993

PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)

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Licenses & Designations

IA

Issued 11/24/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/07/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/29/2024

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/07/1994

Series 7 - General Securities Representative Examination

BC

Issued 06/19/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter John Warren.
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