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Northwestern Mutual Investment Services, LLC CRD 2881
1 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2010-12-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-28 |
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