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Richard James Perry

Northwestern Mutual Investment Services, LLC

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About Richard James Perry

Richard James Perry has been in the financial services industry since 2010. Richard is a registered representative with Northwestern Mutual Investment Services, LLC in Cincinnati, Ohio. Richard has been affiliated with this firm since February 2021 and has a Series 6, Series 7, Series 66 and SIE license. Richard also previously held registrations with W&S Brokerage Services, Inc., Legg Mason Wood Walker, Incorporated, and Institutional Brokerage Services Corporation.

Firm Information

Richard Perry 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

3805 EDWARDS ROAD

CINCINNATI, OH 45209

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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Richard Perry’s Registration & Firm History

OH

05/04/2021 - Present

Northwestern Mutual Investment Services, LLC (CINCINNATI OH)

OH

01/25/2005 - 02/28/2007

W&S BROKERAGE SERVICES, INC. (CINCINNATI OH)

MD

08/07/2003 - 12/13/2004

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

OH

03/25/1999 - 12/04/2002

INSTITUTIONAL BROKERAGE SERVICES CORPORATION (CINCINNATI OH)

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Licenses & Designations

BOTH

Issued 5/1/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 2/27/2021

Series 7TO - General Securities Representative Examination

BC

Issued 1/15/2021

SIE - Securities Industry Essentials Examination

BC

Issued 2/24/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard James Perry.
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