Close Menu
Free Consultation: 888-976-6111

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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Jordan Awoye: $310K Complaint Against Former Equitable Advisor

    New York financial advisor Jordan Awoye (CRD# 6600772) recently received an investor complaint alleging that his conduct resulted in damages...

    Read More
  • Brian Beh: FINRA Investigates Frontier Solutions Advisor

    Richmond, Virginia financial advisor Brian Beh (CRD# 1500962) is under investigation by financial industry regulators in connection with alleged rule...

    Read More
  • Mike Shatsky: Sky Alpha Advisor Receives $788K Complaint

    Boca Raton financial advisor Mike Shatsky (CRD# 2430683) recently received an investor complaint alleging that he misrepresented an investment, resulting...

    Read More
  • Chad Bridgers: Cabot Lodge Advisor Faces $400K GWG L-Bond Complaint

    Fayetteville, Arkansas financial advisor Chad Bridgers (CRD# 2475641) recently received an investor complaint alleging that a GWG L-bond investment resulted...

    Read More
  • Previous
  • Next