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Detailed Report
David B Andres
DAVID B ANDRES, DAVID ANDRES, Brad Andres
CRD#: 5996442
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 Sanibel, FL
Registration History
20122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2023 - Present (1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2015 - Present (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2011 - 2013 (1 year)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2015 - 2023 (7 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2013 (1 year)
License(s)

State Registrations

B
California 3/14/2019
B
Georgia 9/24/2015
B
Florida 11/22/2022
B
Ohio 2/19/2021
IA
Florida 4/3/2023

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)
Sanibel, FL
Registered with this firm since 4/3/2023
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
Sanibel, FL
Registered with this firm since 9/24/2015
Previous Registration(s)
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IA
 09/28/2015 - 03/31/2023 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) ATLANTA, GA
IA
 01/31/2012 - 09/30/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MACON, GA
B
 12/23/2011 - 09/30/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MACON, GA
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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.