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Shawn Francis Kelley

Northwestern Mutual Investment Services, LLC

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About Shawn Francis Kelley

Shawn Kelley is a financial advisor with over 25 years of experience in the financial industry. Shawn has worked with Northwestern Mutual Investment Services, LLC since 2008. Previously, Shawn was employed by Robert W. Baird & Co. Incorporated, where they worked as a financial advisor from 1998 to 2002. Shawn has a wide range of experience, including both broker-dealer and investment advisory services. Shawn's expertise lies in providing investment advice and guidance to individuals, families, and businesses. Shawn has a strong understanding of the financial markets and is committed to helping their clients achieve their financial goals.

Firm Information

Shawn Kelley 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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Shawn Kelley’s Registration & Firm History

OH

07/03/2008 - Present

Northwestern Mutual Investment Services, LLC (CINCINNATI OH)

WI

05/29/1998 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 02/08/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/19/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/28/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/22/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/25/2002

Series 7 - General Securities Representative Examination

BC

Issued 12/17/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Shawn Francis Kelley. Review regulatory record here.
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