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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
FL RA APPROVED 2006-08-16
  • FL RA
    APPROVED
    Since 2006-08-16

Branch Locations

4345 Southpoint Blvd Suite 400, Jacksonville, FL 32216 • 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 Milwaukee WI 08/1996 Present
Northwestern Mutual Investment Services, Llc Jacksonville FL 03/1997 Present
Northwestern Mutual Management Company Milwaukee WI 10/2015 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. MEMBER, ST. JOSEPH'S CATHOLIC SCHOOL ADVISORY BOARD, 11600 OLD ST. AUGUSTINE ROAD, JACKSONVILLE, , FLORIDA, 32258, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 9/12/2016, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT OF SCHOOL ADVISORY BOARD, PLAN AND IMPLEMENT INITIATIVES IN CONJUNCTION WITH SCHOOL PRINICIPAL, DIRECT BOARD, DIRECT SUBCOMMITTEES 3. COMMITTEE MEMBER, JACKSONVILLE CATHOLIC BUSINESSMEN, N/A, JACKSONVILLE, , FLORIDA, 32204, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 09/12/2016, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ORGANIZING AND FACILITATING QUARTERLY MEETING, EMAIL DISTRIBUTION, HANDLE CHECKS AND MAIL TO DIOCESE FOR PROCESSING 4. TREASURER, FINANCE AND INVESTMENT ADVISORY COMMITTEE MEMBER, FLORIDA STATE COLLEGE AT JACKSONVILLE FOUNDATION, INC., 501 WEST STATE STREET, ROOM 104, JACKSONVILLE, , FLORIDA, 32202, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 1/1/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, FULL AND ACCURATE BOOKS AND RECORDS , FINANCIAL STATEMENTS AND REPORTS, SERVE AS CHAIR OF THE FINANCE, AUDIT, AND COMPLIANCE COMMITTEE; SHALL SERVE AS A MEMBER OF THE INVESTMENT ADVISORY COMMITTEE, NOT INVESTMENT RELATED. 5. PRESIDENT, BOOSTER CLUB OF ST. JOSEPHS CATHOLIC SCHOOL, 11600 OLD ST. AUGUSTINE ROAD, JACKSONVILLEF, , FLORIDA, 32258, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 09/09/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT OF BOOSTER CLUB: OVERSEEING SPORTS RELATED ACTIVITIES FOR SCHOOL, SERVING THE ATHLETIC DIRECTOR AND SCHOOL ADMINISTRATION, COMMUNICATION, LIMITED FUNDRAISING, ETC. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-10
S63 Uniform Securities Agent State Law Examination 1998-04-06
  • S66 Uniform Combined State Law Examination
    2006-08-10
  • S63 Uniform Securities Agent State Law Examination
    1998-04-06
Other Names
  • Jeff Mall
  • Jeffrey J Mall

View on SEC IAPD

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