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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
IL RA APPROVED 2007-01-04
  • IL RA
    APPROVED
    Since 2007-01-04

Branch Locations

1327 W Washington Blvd Unit 3C, Chicago, IL 60607 • 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 Insurance Co Milwaukee WI 12/2003 Present
Northwestern Mutual Investment Services Llc Northbrook IL 01/2004 Present
Northwestern Mutual Investment Services, Llc Northbrook IL 01/2007 Present
Lane Tech Baseball Booster Club Chicago IL 11/2010 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2018 Present
Previous Registrations
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, SHD MANAGEMENT, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 5/1/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 41-79, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED (3) PROFESSOR, DEPAUL UNIVERSITY, 1 E JACKSON, CHICAGO, , ILLINOIS, 60604, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 3/7/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TEACHING ESTATE PLANNING COURSE FOR THE CFP AT DEPAUL UNIVERSITY; NON-INVESTMENT RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-01
S63 Uniform Securities Agent State Law Examination 1996-07-03
  • S65 Uniform Investment Adviser Law Examination
    1999-06-01
  • S63 Uniform Securities Agent State Law Examination
    1996-07-03
Other Names
  • Steven Harris Domsky

View on SEC IAPD

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