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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
NC RA APPROVED 2011-08-11
  • NC RA
    APPROVED
    Since 2011-08-11

Branch Locations

6235 Carnegie Blvd, Charlotte, NC 28211 • 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 Charlotte NC 12/2010 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 10/2010 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2014 Present
  • 12/2010 → Present
    Charlotte, NC
  • 10/2010 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 06/2014 → 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. OWNER, JEM ALPHA, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 09/19/2024, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. OWNER, JLM JDR, LLC, 6235 MORRISON BLVD, CHARLOTTE, , NORTH CAROLINA, 28211, UNITED STATES OF AMERICA, LEGAL ENTITY, START DATE: 1/1/2025, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-02-08
  • S63 Uniform Securities Agent State Law Examination
    2011-02-08
Designations
  • Chartered Financial Consultant
Other Names
  • James L Mcmanus

View on SEC IAPD

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