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Ethan Baker

Northwestern Mutual Investment Services,llc
6 Years of Experience
Oak Brook, IL
1 DisclosureBroker
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Ethan Baker is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Oak Brook, IL, with 6 years of industry experience. Ethan is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 1 clients.

Northwestern Mutual Investment Services,llc
Compensation
Fixed/Hourly
Firm Size
2138 advisors
IM Fee
Planning only

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

700 Commerce Dr Ste 201, Oak Brook, IL, 60523

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
April 2023
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ethan leads book club discussions on Zoom for Great Books Great Discussions. This non-investment related activity requires minimal time.

Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
July 2024 - Present · 2 yrs 3 mos
Northwestern Mutual Investment Services, LLCBroker
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Elevate Capital Advisors
November 2023 - November 2023 · 0 mos
Fidelity Personal and Workplace Advisors
June 2020 - April 2023 · 2 yrs 10 mos
Fidelity Brokerage Services LLCBroker
March 2019 - April 2023 · 4 yrs 1 mo
State Registrations2 states
AZIL
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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