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Richard Thomas Allen

Northwestern Mutual Investment Services, LLC

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About Richard Thomas Allen

Richard Allen is a financial advisor with over 30 years of experience in the industry. Richard Allen is registered with Northwestern Mutual Investment Services, LLC and has been with the firm since 2007. Richard Allen specializes in helping clients with a variety of financial needs, including retirement planning, investment management, and insurance planning. Richard Allen is also registered as an investment advisor representative in North Carolina. Richard Allen has a Series 7, 6, 63 and 65 license. Richard Allen is a committed professional with a focus on building long-term relationships with clients and providing them with the best possible financial advice.

Firm Information

Richard Allen 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 Allen’s Registration & Firm History

NC

08/30/2007 - Present

Northwestern Mutual Investment Services, LLC (CHARLOTTE NC)

WI

01/08/1990 - 01/01/2002

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

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Licenses & Designations

IA

Issued 12/07/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/21/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/2004

Series 7 - General Securities Representative Examination

BC

Issued 12/17/1987

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 Thomas Allen.
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