Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
BRANDON S SMITH
CRD#: 4835033
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1349 W Lane Ave
Ste 1200
Upper Arlington, OH 43221
Registration History
200420062008201020122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2013 - Present (11 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2004 - Present (20 years)
Disclosure(s)
View By:
4/20/2016
Customer Dispute
Denied
License(s)

State Registrations

B
California 4/24/2018
B
New Jersey 6/21/2021
B
Colorado 6/23/2021
B
New York 9/21/2018
B
Connecticut 4/1/2021
B
North Carolina 5/17/2017
B
District of Columbia 1/30/2013
B
Ohio 9/10/2004
B
Florida 2/10/2017
IA
Ohio 9/10/2013
B
Georgia 8/21/2019
B
Oklahoma 1/14/2020
B
Idaho 9/23/2021
B
Oregon 4/23/2020
B
Illinois 4/24/2018
B
Pennsylvania 8/28/2019
B
Indiana 6/14/2018
B
Rhode Island 3/2/2023
B
Iowa 9/29/2017
B
South Carolina 8/22/2018
B
Kentucky 10/14/2019
B
South Dakota 8/14/2019
B
Louisiana 8/3/2020
B
Tennessee 9/9/2021
B
Maryland 11/12/2021
B
Texas 10/23/2018
B
Massachusetts 3/15/2021
B
Utah 7/31/2019
B
Michigan 8/16/2016
B
Virginia 9/27/2019
B
Minnesota 5/14/2021
B
Washington 8/17/2020
B
Mississippi 7/17/2021
B
West Virginia 8/1/2018
B
Missouri 9/9/2019
B
Wisconsin 4/17/2023
B
Montana 7/14/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
1349 W Lane Ave Ste 1200, Upper Arlington, OH 43221
Registered with this firm since 9/10/2013
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
1349 W Lane Ave Ste 1200, Upper Arlington, OH 43221
Registered with this firm since 9/10/2004
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.