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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 2008-07-23
  • CA RA
    APPROVED
    Since 2008-07-23

Branch Locations

18575 Jamboree Rd Ste 400, Irvine, CA 92612 • 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 Ins Co Milwaukee WI 08/1997 Present
Northwestern Mutual Investment Services, Llc Los Angeles CA 09/1997 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2008 Present
  • 08/1997 → Present
    Northwestern Mutual Life Ins Co
    Milwaukee, WI
  • 09/1997 → Present
    Los Angeles, CA
  • 08/2008 → 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. TRUSTEE - GAJDA FAMILY TRUST, 9 WELDON HEIGHT, LADERA RANCH, , CALIFORNIA, 92694, United States, IMMEDIATE FAMILY, START DATE: 01/23/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TRUSTEE ON OUR FAMILY TRUST 3. PRESIDENT, COTO MGA, COTO DE CAZA GOLF & RACQUET CLUB, COTO DE CAZA, , CALIFORNIA, 92679, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 05/31/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, I RAN MONTHLY MEETINGS FOR OTHER BOARD MEMBERS, DEALT WITH GM AND DIRECTOR OF GOLF TO HELP RUN MEMBER GOLF TOURNAMENTS. non-investment related. 4. OWNER, FORWARD IN FAITH, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 11/07/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. OWNER, SKRE4, LLC, LEGAL ENTITY, START DATE: 11/07/2024, 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 2008-06-30
S63 Uniform Securities Agent State Law Examination 1997-12-07
  • S66 Uniform Combined State Law Examination
    2008-06-30
  • S63 Uniform Securities Agent State Law Examination
    1997-12-07
Other Names
  • Scott A Gajde

View on SEC IAPD

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