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Richard Nelson Brown

Northwestern Mutual Investment Services, LLC

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About Richard Nelson Brown

Richard Nelson Brown is an active investment advisor representative with Northwestern Mutual Investment Services, LLC in Radnor, Pennsylvania. Richard has been in the financial services industry since March 4, 1991 and is currently registered with the Financial Industry Regulatory Authority (FINRA). Richard is also registered with the state of Pennsylvania, and 32 other states. He is licensed to sell securities and offer investment advice in these states. Prior to joining Northwestern Mutual Investment Services, LLC, Richard worked at Robert W. Baird & Co. Incorporated.

Firm Information

Richard Brown 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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Richard Brown’s Registration & Firm History

PA

03/05/1991 - Present

Northwestern Mutual Investment Services, LLC (RADNOR PA)

WI

03/05/1991 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 02/26/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/03/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/29/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/22/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/24/2000

Series 7 - General Securities Representative Examination

BC

Issued 03/04/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Nelson Brown.
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