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Ray Douglas Carter

Northwestern Mutual Investment Services, LLC

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About Ray Douglas Carter

Ray Douglas Carter is a financial professional with over 30 years of experience in the industry. Ray is currently registered with Northwestern Mutual Investment Services, LLC, a firm that has been providing financial services since 1991. Ray is also a registered representative with the Financial Industry Regulatory Authority (FINRA) and holds Series 6, 26, and 63 licenses. Ray's previous experience includes working with Robert W. Baird & Co. Incorporated, a firm that has been providing financial services since 1919. Ray is dedicated to providing clients with personalized financial advice and strategies to help them achieve their financial goals.

Firm Information

Ray Carter 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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Ray Carter’s Registration & Firm History

AL

09/12/1991 - Present

Northwestern Mutual Investment Services, LLC (MOBILE AL)

WI

02/25/1999 - 09/16/2002

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

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Licenses & Designations

BC

Issued 12/18/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/04/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/10/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ray Douglas Carter.
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