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Thomas John Goes

Northwestern Mutual Investment Services, LLC

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About Thomas John Goes

Thomas Goes is a financial advisor at Northwestern Mutual Investment Services, LLC and has been in the industry since 1999. Thomas Goes is registered with both FINRA and the state of Florida and is licensed to provide investment advice in 51 states and the District of Columbia. Thomas Goes also owns and operates Thomas J Goes & Associates, Inc. and has experience in both Broker-Dealer and Investment Advisor roles.

Firm Information

Thomas Goes 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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Thomas Goes’s Registration & Firm History

FL

01/01/2025 - Present

Northwestern Mutual Investment Services, LLC (ORLANDO FL)

WI

08/17/1999 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 10/29/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/16/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/29/2011

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/05/2011

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/18/2008

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/12/2007

Series 7 - General Securities Representative Examination

BC

Issued 08/16/1999

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 John Goes.
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