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Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

  • INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2008-04-09
  • TX RA
    APPROVED
    Since 2008-04-09

Branch Locations

1708 W 6Th St, Austin, TX 78703 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Milwaukee WI 06/1987 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 05/1989 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
Previous Registrations
  • 2006-02-06 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1) MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS 2. OWNER, ZIRKEL ATX LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 02/19/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. OWNER, RABBIT EARS ATX LLC, LEGAL ENTITY, START DATE: 02/19/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 4. OWNER, 100 ACRE RESIDENTIAL DEVELOPMENT, LAVERNIA TX, INVESTMENT PROPERTY, START DATE: 8/20/2003, INVESTMENT IN REAL ESTATE NEAR LA VERNIA, TX 5. WEST 1402 LLC, 1402 WEST 6TH STREET, AUSTIN, , TEXAS, 78703, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 09/22/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I OWN THE LLC. INVESTMENT RELATED. 6. WEST 1708 LLC, NON-FINANCIAL SERVICES BUSINESS, START DATE: 09/22/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MY WIFE AND I ARE THE 100% OWNERS OF THE LLC. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-20
S63 Uniform Securities Agent State Law Examination 1989-09-19
  • S66 Uniform Combined State Law Examination
    2005-10-20
  • S63 Uniform Securities Agent State Law Examination
    1989-09-19

View on SEC IAPD

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