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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 APP_PEND_IARCE 2026-01-01
  • MN RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

1191 Northland Dr Ste 150, Mendota Hts, MN 55120 • 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 Edina MN 07/2011 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 07/2011 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2016 Present
  • 07/2011 → Present
    Edina, MN
  • 07/2011 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 02/2016 → 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. TRAINING SEMINARS, BUSINESS RELATED SEMINARS, START DATE: 9/11/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON-INVESTMENT RELATED. 3. OWNER, CORD81, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, 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. 4. OWNER, SPAABACHER LLC, LEGAL ENTITY, START DATE: 1/1/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-11-07
  • S63 Uniform Securities Agent State Law Examination
    2011-11-07
Other Names
  • Sarah Ann Spaanem

View on SEC IAPD

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