Articles Tagged with Northwestern Mutual Investment Services

Benjamin Kehl Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 27, 2018 indicate that Connecticut-based Northwestern Mutual Investment Services broker Benjamin Kehl is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kehl (CRD# 3088674).

Benjamin Kehl has spent 18 years in the securities industry and has been registered with Northwestern Mutual Investment Services in Glastonbury, Connecticut since 1999. He was previously registered with Robert W. Baird & Company in Milwaukee, Wisconsin (2000-2002). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 1, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 19, 2000; Series 7 (General Securities Representative Examination), which he obtained on March 19, 2003; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 12, 1999. He is a registered broker with nine US states: Connecticut, Florida, Maryland, Massachusetts, Michigan, New York, North Carolina, Pennsylvania, and Rhode Island.

According to his BrokerCheck report, he has received one pending customer complaint.

Daniel WilsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Iowa-based Northwestern Mutual Investment Services broker Daniel Wilson has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wilson (CRD# 1033853).

Daniel Wilson has spent 35 years in the securities industry and has been registered with Northwestern Mutual Investment Services in Cedar Rapids, Iowa since 1092. He was previously registered with Robert W. Baird & Company in Milwaukee, Iowa (1988-1990; 1991); 1997-2002). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 30, 1998, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 13, 1982. He is a registered broker with six US states: Florida, Georgia, Iowa, Missouri, New York, and Pennsylvania.

According to his BrokerCheck report, he has received one customer complaint and one FINRA sanction.

Jordan MontgomeryPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Minnesota-based Northwestern Mutual Investment Services broker Jordan Montgomery has been named in a regulatory investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Montgomery (CRD# 5788771).

Jordan Montgomery has spent five years in the securities industry and has been registered with Northwestern Mutual Investment Services in Mendota Heights, Minnesota since July 2015. He was previously registered with Northwestern Mutual Investment Services in Coralville, Iowa. He is a registered broker with five US states: Illinois, Iowa, Minnesota, North Dakota, and Texas. Continue Reading