David Brian Test of Dallas, Texas, a stockbroker registered with Northwestern Mutual Investment Services LLC, was the subject of a customer initiated investment related complaint that was settled on December 21, 2021, for $18,221.12 in damages based upon allegations that Test made omissions of material fact in connection with the sale of municipal bonds during the period that Test was associated with Northwestern Mutual Investment Services LLC.
Test was associated with Northwestern Mutual Investment Services LLC in Dallas, Texas, as a stockbroker from January 29, 2009, to August 12, 2021, and as an investment advisor representative from May 12, 2009, to August 12, 2021. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Test was permitted to resign by Northwestern Mutual Investment Services LLC on July 27, 2021, based upon allegations that Test committed forgery.
Test has been associated with Avantax Investment Services Inc. in Frisco, Texas, as a stockbroker since October 7, 2021, and as an investment advisor representative since November 9, 2021.
