398,301 Registered advisers Every investment adviser representative 304,895 Dually registered 77% are also broker reps 93,406 Adviser only Not registered with a broker-dealer 25,639 Firms Where they're registered 56,898 CFPs 11,003 CFAs, 12,693 ChFCs From the SEC’s compilation report of October 24, 2026, refreshed every morning. +89 since the file before. 53 firm joins and 232 departures in the latest file. 133 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.
Name, firm or city State Every state AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WV WI WY Registration Adviser or dual Also a broker rep Adviser only Designation Any CFP CFA ChFC PFS CIC Exam Any exam Series 65 Series 66 Series 63 Joined current firm Any time In the last 90 days In the last 6 months In the last year Disclosures Either None on record Has disclosures
Advisor Firm Registration Designations Joined firm Registered since 1 James A. Adrian Jr. Naperville, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2007 2 Michael J. Andrews III Lombard, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2022 3 Sanjay Arora Skokie, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2005 4 Nurulain S. Ashrafi Chicago, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2008 5 Ethan E. Baker Oak Brook, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2020 6 John F. Baker Chicago, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2011 7 Lucas A. Baschnagel Lake Forest, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2011 8 Bradley A. Behrens Bloomington, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2015 9 Thomas B. Bennett Lombard, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2013 10 Dario Bolanos Chicago, IL Northwestern Mutual Investment Services, LLC Adviser and broker – Atlas 2015
123 more advisors match.
Atlas lists every one, with when they joined their firm, their full career and branch office, and exports the list.