Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas William Swartout has been in the financial services industry since 1995. He is currently registered as a Registered Representative (RA) with Northwestern Mutual Investment Services, LLC in the state of Pennsylvania. Thomas William Swartout is also an Investment Advisor Representative (IAR) with Northwestern Mutual Investment Services, LLC in Pennsylvania. Prior to his current position, Thomas William Swartout worked at Robert W. Baird & Co. Incorporated in Wisconsin. Thomas William Swartout has passed the Series 6, Series 63, Series 65, and SIE exams. Thomas William Swartout currently holds licenses in twenty-four states including Alaska, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Maryland, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Utah, Virginia, West Virginia, and Wisconsin. In addition to his work with Northwestern Mutual Investment Services, LLC, Thomas William Swartout may also earn commissions for sales of non-variable insurance products through other insurance companies.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
PA
10/17/2011 - Present
Northwestern Mutual Investment Services, LLC (PITTSBURGH PA)
WI
09/08/1995 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 10/14/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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