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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
NJ RA APPROVED 2009-02-20
  • NJ RA
    APPROVED
    Since 2009-02-20

Branch Locations

500 Campus Dr Ste 300, Florham Park, NJ 07932 • 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 02/2009 Present
Northwestern Mutual Investment Services, Llc Summit NJ 02/2009 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 02/2009 → Present
    Northwestern Mutual Life Ins. Co.
    Milwaukee, WI
  • 02/2009 → Present
    Summit, NJ
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-20
S63 Uniform Securities Agent State Law Examination 1997-07-17
  • S65 Uniform Investment Adviser Law Examination
    2001-02-20
  • S63 Uniform Securities Agent State Law Examination
    1997-07-17
Other Names
  • Michael Chan
  • Michael Chan Kwang
  • Chan Michael Kwong

View on SEC IAPD

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