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Ryan Ainsworth: $465K Complaint Against Northwestern Advisor

Gilbert, Arizona financial advisor Ryan Ainsworth (CRD# 5740339) recently received an investor complaint alleging that his conduct resulted in losses exceeding $400,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.

Mr. Ainsworth’s BrokerCheck report discloses one investor complaint. Filed in April 2024, it alleges that as a representative of Northwestern Mutual Investment Services, he misrepresented material facts, breached his fiduciary duty, breached contract, and negligently misrepresented material facts in connection with mutual fund investments. The pending complaint alleges damages of $465,000.

Northwestern Mutual Investment Services’ website includes a profile of Mr. Ainsworth that describes his background, experience, and approach to working with his clients. “He takes the time to educate his clients on things that they may be unaware of, and help them gain clarity around their own situation,” it explains. “His goal is to develop long term relationships based on open communication, honesty, and trust, which will ultimately lead to long term client success. With experience in retirement planning, investments strategies, asset distribution, and insurance planning, his team takes a coordinated approach towards securing his clients financial future.”

According to the Financial Industry Regulatory Authority, Ryan Ainsworth holds 13 years of securities industry experience. Based in Gilbert, Arizona, he has been registered as a broker and an investment advisor with Northwestern Mutual Investment Services since 2011 and 2015, respectively. His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, California, the District of Columbia, Florida, Idaho, Louisiana, Michigan, Mississippi, Missouri, Nevada, New York, North Carolina, Oregon, Texas, and Washington.  (Information current as of June 29, 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.

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