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Scott Thomas Penning

Northwestern Mutual Investment Services, LLC

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About Scott Thomas Penning

Scott Thomas Penning is a financial advisor with Northwestern Mutual Investment Services, LLC. Scott has been in the securities industry since August 4, 1994 and has held positions at Robert W. Baird & Co. Incorporated and Janus Distributors, Inc. Scott's current firm is located in Mission Woods, Kansas. Scott is registered in 51 states to provide securities-related services and is also registered with FINRA.

Firm Information

Scott Penning 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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Scott Penning’s Registration & Firm History

KS

11/10/1994 - Present

Northwestern Mutual Investment Services, LLC (Mission Woods KS)

WI

11/10/1994 - 01/01/2002

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

CO

01/19/1994 - 04/25/1994

JANUS DISTRIBUTORS, INC. (DENVER CO)

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Licenses & Designations

BC

Issued 02/10/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/18/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Scott Thomas Penning. Review regulatory record here.
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