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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 2007-05-21
  • IL RA
    APPROVED
    Since 2007-05-21

Branch Locations

1464 Techny Rd, Northbrook, IL 60062 • 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
The Northwestern Mutual Life Ins Co. Milwaukee WI 06/1998 Present
Northwestern Mutual Investment Services, Llc Vernon Hills IL 07/1998 Present
Northwestern Mutual Wealth Managment Company Milwaukee WI 01/2010 Present
  • 06/1998 → Present
    The Northwestern Mutual Life Ins Co.
    Milwaukee, WI
  • 07/1998 → Present
    Vernon Hills, IL
  • 01/2010 → Present
    Northwestern Mutual Wealth Managment 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) BEGINNING 7/5/11; 50% OWNERSHIP STAKE IN A CONDOMINIUM LOCATED AT 821 FOSTER #1S, EVANSTON, IL 60201. 3) <1%, PPC FUND 3 , 111 S WACKER, CHICAGO, , ILLINOIS, 60606, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 12/17/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NOTHING. MY WIFE'S COMPANY ALLOWING US TO INVEST IN IT. 4. 50% OWNER, FSA VENTURES LLC, 1464 TECHNY ROAD, NORTHBROOK, , ILLINOIS, 60062, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 6/15/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNERSHIP OF AN OFFICE CONDO FOR OUR NM PRACTICE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-03
S63 Uniform Securities Agent State Law Examination 1998-10-13
  • S66 Uniform Combined State Law Examination
    2007-04-03
  • S63 Uniform Securities Agent State Law Examination
    1998-10-13

View on SEC IAPD

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