Best Investors Account Sign in
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
CO RA APPROVED 2007-07-18
  • CO RA
    APPROVED
    Since 2007-07-18

Branch Locations

707 17Th St Ste 3700, Denver, CO 80202 • 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 Insurance Company Milwaukee WI 11/2002 Present
Northwestern Mutual Investment Services, Llc Denver CO 10/2009 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2010 Present
  • 11/2002 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 10/2009 → Present
    Denver, CO
  • 06/2010 → 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. KARIOS GROUP LLC, INVESTMENT RELATED, 3/15, 707 17TH STREET, SUITE 3700, DENVER, CO, SERVICE ORGANIZATION, 100% OWNER, CONSULTING/COORDINATION, 5 HOURS P/M 3. CHRONOS LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 4/1/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 4. 100% OWNER, FLAT H, 5 WESTBOURNCE CRESCENT, FLAT H, 5 WESTBOURNCE CRESCENT, LONDON, , COLORADO, 12345, UNITED KINGDOM, INVESTMENT PROPERTY, START DATE: 8/1/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NONE, PASSIVE REAL ESTATE RENTAL. FORM WILL NOT LET ME PUT IN A UK ZIP CODE OR NOT SELECT A STATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-07-17
S63 Uniform Securities Agent State Law Examination 2004-06-09
  • S65 Uniform Investment Adviser Law Examination
    2007-07-17
  • S63 Uniform Securities Agent State Law Examination
    2004-06-09

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Denver, CO

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor