Richard Allen
Richard Allen is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Charlotte, NC, with 38 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Location
6235 Carnegie Blvd, Charlotte, NC, 28211
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. This activity is insurance-related.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Northwestern Mutual Wealth Management Company
Robert W. Baird & CO. IncorporatedBroker
State Registrations28 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.