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Michael Conrad Jacob

Northwestern Mutual Investment Services, LLC

Irvine, CA

CRD 4278135

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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
CA RA APPROVED 2008-08-20
  • CA RA
    APPROVED
    Since 2008-08-20

Branch Locations

18575 Jamboree Rd Ste 400, Irvine, CA 92612 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 11/2000 Present
Northwestern Mutual Investment Services, Llc Irvine CA 11/2000 Present
Northwestern Mutual Investment Services, Llc Irvine CA 08/2008 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 04/2011 Present
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, 36 NIGHT BLOOM, 36 NIGHT BLOOM, IRVINE, , CALIFORNIA, 92602, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 6/1/2015, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, RENTAL PROPERTY 3. FR BUSINESS ENTITY - DUPREE, JACOB & ASSOCIATES, LEGAL ENTITY, START DATE: 1/2/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT - HELP RUN THE OVERALL ORGANIZATION AND FUND THE ENTITY FOR BUSINESS EXPENSE PURPOSES 5. 100% OWNER, MCJ COMPANY, LLC, LEGAL ENTITY, START DATE: 08/04/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 6. OWNER, PRINCIPLE COMPANY LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 8/3/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-04
S63 Uniform Securities Agent State Law Examination 2001-03-26
  • S66 Uniform Combined State Law Examination
    2008-06-04
  • S63 Uniform Securities Agent State Law Examination
    2001-03-26

View on SEC IAPD

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