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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
MN RA APPROVED 2013-11-05
  • MN RA
    APPROVED
    Since 2013-11-05

Branch Locations

701 Xenia Ave S Ste 600, Golden Valley, MN 55416 • 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 Investment Services, Llc Edina MN 01/2004 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 07/2003 Present
Northwestern Mutual Investment Services, Llc Edina MN 06/2009 Present
Rental Property Inver Grove Heights MN 01/2011 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2015 Present
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
S66 Uniform Combined State Law Examination 2009-06-01
S63 Uniform Securities Agent State Law Examination 2004-03-26
  • S66 Uniform Combined State Law Examination
    2009-06-01
  • S63 Uniform Securities Agent State Law Examination
    2004-03-26
Designations
  • Certified Financial Planner

View on SEC IAPD

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