Brian Spaulding
Brian Spaulding is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Milwaukee, WI, with 14 years of industry experience. Brian 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
720 E Wisconsin Ave, Milwaukee, WI, 53202
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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.
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Brian is employed at Park Center Foot & Ankle, assisting in creating and pouring molds for custom orthotics. This takes a few hours per week, with minimal time spent during securities trading hours.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLC
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Scottrade, INC.Broker
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
Chase Investment Services CORP.
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations2 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.