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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 2012-01-30
  • CA RA
    APPROVED
    Since 2012-01-30

Branch Locations

515 S Flower St Fl 34, Los Angeles, CA 90071 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Investment Services, Llc Los Angeles CA 07/2008 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 02/2013 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 07/2008 → Present
    Los Angeles, CA
  • 02/2013 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. E3 INSURANCE SOLUTIONS INC, PRESIDENT, 215 N. NORTON AVENUE, LOS ANGELES, , CALIFORNIA, 90004, UNITED STATES OF AMERICA, OTHER NAME, START DATE: 10/1/2010, HOURS PER MONTH: 6-20, PRESIDENT AND 100% OWNER; BUSINESS IS RELATED TO OUTSIDE INSURANCE SALES; INSURANCE PRODUCTS SOLD OUTSIDE OF THE NORTHWESTERN MUTUAL NETWORK. 2. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-19
  • S66 Uniform Combined State Law Examination
    2008-09-19
Designations
  • Certified Financial Planner

View on SEC IAPD

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