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Rachel Olivia Buchanan

Northwestern Mutual Investment Services, LLC

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About Rachel Olivia Buchanan

Rachel Olivia Buchanan is a financial advisor with Northwestern Mutual Investment Services, LLC. Rachel has been a registered investment advisor for over 20 years and holds several industry licenses including the Series 63, Series 66, Series 7, and Series 99TO. Rachel provides investment research, referrals to other advisors, and portfolio management. Prior to joining Northwestern Mutual Investment Services, LLC, Rachel worked at CHARLES SCHWAB & CO., INC. and MICHAEL BRYNE.

Firm Information

Rachel Buchanan 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

2121 N California Blvd

Walnut Creek, CA 94596

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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Rachel Buchanan’s Registration & Firm History

CA

02/20/2009 - Present

Northwestern Mutual Investment Services, LLC (Walnut Creek CA)

CA

01/24/2002 - 05/22/2008

CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)

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Licenses & Designations

BOTH

Issued 2/11/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 2/5/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/30/2008

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/5/2008

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 1/23/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rachel Olivia Buchanan.
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