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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 2025-01-01
  • CA RA
    APPROVED
    Since 2025-01-01

Branch Locations

555 Mission St Fl 16, San Francisco, CA 94105 • 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 04/1997 Present
Northwestern Mutual Investment Services, Llc San Francisco CA 12/1997 Present
Northwestern Mutual Investment Services, Llc San Francisco CA 03/2006 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. 49% OWNER, MONTAGUE GLASS, LLC, 418 CHANNING WAY, ALAMEDA, , CALIFORNIA, 94502, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 7/15/2016, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, PARTNER WITH WIFE IN AN LLC, MONTAGUE GLASS, TO OWN AND OPERATE AN ART GALLERY. RETAIL LOCATION NOT YET DETERMINED. WIFE WOULD BE PRIMARY PARTICIPANT IN THE MANAGEMENT OF THE BUSINESS, WITH SOME HELP FROM ME ON WEEKENDS AND AFTER HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-03
S63 Uniform Securities Agent State Law Examination 1998-02-18
  • S66 Uniform Combined State Law Examination
    2006-03-03
  • S63 Uniform Securities Agent State Law Examination
    1998-02-18
Other Names
  • Gray Eldon Montague

View on SEC IAPD

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