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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 2013-11-04
WI RA APPROVED 2010-06-03
  • MN RA
    APPROVED
    Since 2013-11-04
  • WI RA
    APPROVED
    Since 2010-06-03

Branch Locations

701 Xenia Ave S Ste 600, Golden Valley, MN 55416 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 06/2004 Present
Northwestern Mutual Investment Services, Llc Eagan MN 07/2004 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 06/2004 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 07/2004 → Present
    Eagan, MN
  • 01/2016 → 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. 100% OWNER, BPSWM LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 07/12/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 3. BOARD OF DIRECTORS, WILDERNESS INQUIRY FOUNDATION, FIDUCIARY CAPACITY, START DATE: 10/1/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NOT INVESTMENT RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-02
S63 Uniform Securities Agent State Law Examination 2004-09-23
  • S66 Uniform Combined State Law Examination
    2010-06-02
  • S63 Uniform Securities Agent State Law Examination
    2004-09-23
Other Names
  • Dustin Kindl
  • Dustin James Kindl

View on SEC IAPD

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