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Robert Alan Grimm

Northwestern Mutual Investment Services, LLC

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About Robert Alan Grimm

Robert Alan Grimm is a financial professional with over 30 years of experience in the industry. Robert has been registered with Northwestern Mutual Investment Services, LLC since 1994. Robert previously worked for Robert W. Baird & Co. Incorporated in Milwaukee, WI. Robert has a broad range of experience and holds several licenses, including Series 7, 8, 9, 10, 63 and 65.

Firm Information

Robert Grimm 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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Robert Grimm’s Registration & Firm History

CA

03/18/1994 - Present

Northwestern Mutual Investment Services, LLC (IRVINE CA)

WI

01/27/1994 - 01/01/2002

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

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Licenses & Designations

IA

Issued 12/23/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/17/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/17/1999

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/16/1999

Series 7 - General Securities Representative Examination

BC

Issued 03/17/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Robert Alan Grimm. Review regulatory record here.
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