Dan Ahlrichs: Why Did Upstream Advisor Resign from Northwestern?

Bellevue, Washington financial advisor Dan Ahlrichs (CRD# 5531884) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with LPL Financial, doing business as Upstream Investment Partners.

Mr. Ahlrichs’ BrokerCheck report discloses his resignation from Northwestern Mutual Investment Services. Filed in May 2024, it states that he was “permitted to resign” from the firm “while under internal review for concerns that the Representative violated firm policies in an attempt to meet minimum earnings requirements.” The disclosure provides no additional context regarding the allegations that led to his resignation.

Upstream Investment Partners’ website includes a page describing the firm’s approach to working with its clients. “Over the years, we have found that a team approach can be an effective method to help clients who have a wide variety of needs as they maneuver through a complex financial-services world,” it explains. “We take a proactive approach to helping you develop a strategy to address your financial goals and objectives, using the most efficient methods available.”

According to the Financial Industry Regulatory Authority, Dan Ahlrichs holds 13 years of securities industry experience. Based in Bellevue, Washington, he has been registered as a broker with LPL Financial since May 2024, doing business as Upstream Investment Partners. He was previously registered with Northwestern Mutual Investment Services in Seattle, Washington from 2011 until 2024. His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Alaska, California, Colorado, Illinois, Iowa, North Carolina, Oregon, and Washington. (Information current as of June 22, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.