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Thomas Joseph Cohn

Northwestern Mutual Investment Services, LLC

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About Thomas Joseph Cohn

Firm Information

Thomas Cohn 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

1115 LOCUST STREET

SAINT LOUIS, MO 63101

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 Cohn’s Registration & Firm History

MO

02/12/1996 - Present

Northwestern Mutual Investment Services, LLC (SAINT LOUIS MO)

NC

11/18/2003 - 10/14/2005

TODD SECURITIES, INC. (GREENSBORO NC)

CA

08/01/2003 - 11/11/2003

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

NY

02/18/1994 - 08/01/2003

NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)

NY

11/19/1976 - 12/31/1996

NEW ENGLAND SECURITIES (NEW YORK NY)

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Licenses & Designations

IA

Issued 3/22/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 5/30/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 5/1/2001

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 1/2/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 1/2/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/1976

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Joseph Cohn.
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