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Phillip James Hicks

Northwestern Mutual Investment Services, LLC

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About Phillip James Hicks

Phillip Hicks is a financial professional with over 25 years of experience in the industry. Phillip is a registered representative with Northwestern Mutual Investment Services, LLC in Milwaukee, WI. Previously, Phillip has worked with Robert W. Baird & Co. Incorporated, Shearson Lehman Hutton Inc., and Blunt Ellis & Loewi Incorporated. Phillip's expertise includes investment research, referrals to other advisors, and providing investment services to individuals and banking or thrift institutions.

Firm Information

Phillip Hicks 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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Phillip Hicks’s Registration & Firm History

WI

03/28/2002 - Present

Northwestern Mutual Investment Services, LLC (MILWAUKEE WI)

WI

07/30/1999 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NY

01/12/1989 - 10/10/1989

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

NA

12/17/1985 - 01/06/1987

BLUNT ELLIS & LOEWI INCORPORATED

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Licenses & Designations

IA

Issued 04/14/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/15/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/29/1999

Series 7 - General Securities Representative Examination

BC

Issued 03/14/1989

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Phillip James Hicks.
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