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Thomas Huffman Engelhard

Northwestern Mutual Investment Services, LLC

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About Thomas Huffman Engelhard

Thomas Huffman Engelhard has been in the financial services industry since 1985. Thomas is currently registered with Northwestern Mutual Investment Services, LLC in Texas as an Investment Advisor Representative. Prior to his current role, Thomas worked for other firms including Transamerica Investors Securities Corporation, Paychex Securities Corporation, Mutual of Omaha Investor Services, Inc., Pentegra Distributors Inc., OneAmerica Securities, Inc. and The Equitable Life Assurance Society of the United States. Thomas has passed the Series 63, Series 65 and SIE exams. He is also registered in Florida, Illinois and Texas.

Firm Information

Thomas Engelhard is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

5420 Lyndon B Johnson

DALLAS, TX 75240

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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Thomas Engelhard’s Registration & Firm History

TX

06/07/2021 - Present

Northwestern Mutual Investment Services, LLC (DALLAS TX)

NY

09/09/2019 - 01/12/2021

TRANSAMERICA INVESTORS SECURITIES CORPORATION (HARRISON NY)

IL

06/01/2015 - 08/26/2019

PAYCHEX SECURITIES CORPORATION (NORTHFIELD IL)

NE

02/07/2014 - 05/26/2015

MUTUAL OF OMAHA INVESTOR SERVICES, INC. (OMAHA NE)

NY

04/15/2011 - 03/07/2012

PENTEGRA DISTRIBUTORS INC. (WHITE PLAINS NY)

IN

08/02/2007 - 09/02/2010

ONEAMERICA SECURITIES, INC. (INDIANAPOLIS IN)

CT

05/30/1985 - 07/10/2007

HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)

NA

05/07/1982 - 08/11/1983

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

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Licenses & Designations

IA

Issued 1/21/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/17/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 3/8/1982

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Huffman Engelhard.
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