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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
CA RA APPROVED 2013-09-13
  • CA RA
    APPROVED
    Since 2013-09-13

Branch Locations

18575 Jamboree Rd Ste 400, Irvine, CA 92612 • 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
Kevin Dupree Irvine CA 09/2013 Present
Mike Jacob Irvine CA 09/2013 Present
Northwestern Mutual Investment Services Llc Irvine CA 09/2013 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2013 Present
Matthew Robert Farrell Irvine CA 12/2017 Present
Patrick J Stoll Irvine CA 05/2019 Present
Timothy J Molnar Irvine CA 05/2019 Present
  • 09/2013 → Present
    Kevin Dupree
    Irvine, CA
  • 09/2013 → Present
    Mike Jacob
    Irvine, CA
  • 09/2013 → Present
    Irvine, CA
  • 11/2013 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 12/2017 → Present
    Matthew Robert Farrell
    Irvine, CA
  • 05/2019 → Present
    Patrick J Stoll
    Irvine, CA
  • 05/2019 → Present
    Timothy J Molnar
    Irvine, CA
Previous Registrations
Other Businesses

1. 100% OWNER, 1801 E KATELLA AVE, UNIT 1058, 1801 E KATELLA AVE, UNIT 1058, ANAHEIM, , CALIFORNIA, 92805, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 7/8/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LANDLORD DUTIES - COLLECT RENT, FIX THINGS WHEN THEY BREAK, POINT OF CONTACT FOR TENANTS, ETC. investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-24
  • S66 Uniform Combined State Law Examination
    2007-10-24
Other Names
  • My Phong Nha To
  • My Phuong Nha To

View on SEC IAPD

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