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Nurulain Syed Ashrafi

Northwestern Mutual Investment Services, LLC

Chicago, IL

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Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2008-01-08
  • IL RA
    APPROVED
    Since 2008-01-08

Branch Locations

225 W Randolph St Ste 2000, Chicago, IL 60606 • 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 Chicago IL 08/2004 Present
Christina Collins Chicago IL 10/2007 Present
Northwestern Mutual Wealth Management Company Milwauke WI 06/2008 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-12-31
S63 Uniform Securities Agent State Law Examination 2004-09-30
  • S65 Uniform Investment Adviser Law Examination
    2007-12-31
  • S63 Uniform Securities Agent State Law Examination
    2004-09-30
Other Names
  • Nurulain S Ashrafi

View on SEC IAPD

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BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
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