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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
NC RA APPROVED 2010-12-06
  • NC RA
    APPROVED
    Since 2010-12-06

Branch Locations

6235 Carnegie Blvd, Charlotte, NC 28211 • 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 Insurance Company Milwaukee WI 06/2007 Present
Northwestern Mutual Investment Services, Llc Charlotte NC 07/2007 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2014 Present
  • 06/2007 → Present
    Northwestern Mutual Insurance Company
    Milwaukee, WI
  • 07/2007 → Present
    Charlotte, NC
  • 08/2014 → Present
    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. 100% OWNER, EJW, LLC, LEGAL ENTITY, START DATE: 07/16/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I AM THE TRUSTEE OF MY COMPANY'S 401K PLAN THAT IS OFFERED TO MY ONE FULL TIME EMPLOYEE AND MYSELF. NOT MARKETED 3. PRESIDENT ELECT AND FINANCE COMMITTEE, JEWISH COMMUNITY CENTER, 5007 PROVIDENCE ROAD, CHARLOTTE, , NORTH CAROLINA, 28226, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 3/25/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON-INVESTMENT RELATED. 4. 100% OWNER, 2629 CIRCA DRIVE, 2629 CIRCA DRIVE, MATTHEWS, , NORTH CAROLINA, 28105, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 03/25/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PROPERTY OWNER 5. BOARD MEMBER, FOUNDATION OF SHALOM PARK , 5007 PROVIDENCE RD #102, CHARLOTTE, , NORTH CAROLINA, 28226, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 04/15/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MEMBER OF THE BOARD OF DIRECTORS 6. OWNER, JEM ALPHA, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 09/19/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 7. OWNER, JEJ 3 LLC, LEGAL ENTITY, START DATE: 09/19/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-12-03
S63 Uniform Securities Agent State Law Examination 2001-06-28
  • S65 Uniform Investment Adviser Law Examination
    2010-12-03
  • S63 Uniform Securities Agent State Law Examination
    2001-06-28

View on SEC IAPD

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