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Detailed Report
Paul Baker
CRD#: 7388752
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 3302 MALLARD COVE LANE
FORT WAYNE, IN 46804
Registration History
2021202220232024202520262 FIRMS2024 - Present (<1 year)IAKNIGHTS OF COLUMBUS ASSET ADVI... (CRD# 174129)2021 - 2022 (1 year)
License(s)

State Registrations

B
Illinois 9/12/2024
B
North Carolina 10/29/2024
B
Indiana 4/2/2024
B
Ohio 10/29/2024
IA
Indiana 10/11/2024
B
South Carolina 11/25/2024
B
Michigan 7/16/2024
B
Texas 10/29/2024
B
Minnesota 11/22/2024

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)
3302 MALLARD COVE LANE, FORT WAYNE, IN 46804
Registered with this firm since 10/11/2024
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
3302 MALLARD COVE LANE, FORT WAYNE, IN 46804
Registered with this firm since 3/13/2024
Previous Registration(s)
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IA
 08/26/2021 - 11/01/2022 KNIGHTS OF COLUMBUS ASSET ADVISORS LLC (CRD#:174129) Fort Wayne, IN
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.