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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 2013-09-30
  • NC RA
    APPROVED
    Since 2013-09-30

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 Life Insurance Company Milwaukee WI 07/2011 Present
Northwestern Mutual Investment Services, Llc Charlotte NC 09/2011 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 07/2011 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 09/2011 → Present
    Charlotte, NC
  • 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) RESIDENTIAL RENTAL PROPERTY, INVESTMENT-RELATED, 5328 ALLISON LANE, CHARLOTTE, NORTH CAROLINA 28277, 100% OWNER, 2 HOURS PER MONTH, COLLECT RENT AND ADDRESS MINOR ISSUES. 2) OWNER, TN BUSINESS SERVICES LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 07/15/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-09-27
S63 Uniform Securities Agent State Law Examination 2011-12-30
  • S65 Uniform Investment Adviser Law Examination
    2013-09-27
  • S63 Uniform Securities Agent State Law Examination
    2011-12-30

View on SEC IAPD

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