William Douglas III
Investment Adviser Representative at Northwestern Mutual Investment Services,llc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
William Douglas III is an investment adviser representative with Northwestern Mutual Investment Services,llc in Baton Rouge, LA, where they have been registered since 2021. They have worked in the securities industry since 2015 and have been registered with 4 firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Capital ONE Advisors, LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Louisiana.
Office
Advisors at this office: 8
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Louisiana
- Broker:
6 states and territories
Colorado, Louisiana, Mississippi, Pennsylvania, South Carolina, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Merrill LynchMar 2017 – Jan 2021Baton Rouge, LA
- UnemployedNov 2016 – Apr 2017Denham Springs, LA
- Jeffery KingFeb 2021 – Jul 2024Baton Rouge, LA
- Gavin FilasekFeb 2021 – Jul 2024Baton Rouge, LA
- Northwestern Mutual Investment Services LLCFeb 2021 – no end date reportedBaton Rouge, LA
- Northwestern Mutual Wealth Management CompanyApr 2021 – Aug 2024Milwaukee, WI
- KING Filasek LLCJul 2024 – no end date reportedBaton Rouge, LA
- Northwestern Mutual Life Insurance CompanyAug 2024 – no end date reportedMilwaukee, WI
- Northwestern Mutual Wealth Management CompanyJun 2025 – no end date reportedMilwaukee, WI
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northwestern Mutual Investment Services,llc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in Baton Rouge, LA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. William Douglas III has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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