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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
WI RA APPROVED 2019-05-29
  • WI RA
    APPROVED
    Since 2019-05-29

Branch Locations

720 E Wisconsin Ave, Milwaukee, WI 53202 • 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
Ben Miller Phoenix AZ 06/2015 09/2017
Northwestern Mutual Investment Services Llc Phoenix AZ 06/2015 09/2017
M. Kent Welborn Phoenix AZ 08/2016 09/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2016 09/2017
Ben Miller Phoenix AZ 03/2018 05/2019
Northwestern Mutual Investment Services Llc Milwaukee WI 03/2018 Present
Edward Jones Tempe AZ 10/2017 03/2018
Northwestern Mutual Phoenix AZ 06/2015 09/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 05/2019 Present
  • 06/2015 → 09/2017
    Ben Miller
    Phoenix, AZ
  • 06/2015 → 09/2017
    Phoenix, AZ
  • 08/2016 → 09/2017
    M. Kent Welborn
    Phoenix, AZ
  • 09/2016 → 09/2017
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 03/2018 → 05/2019
    Ben Miller
    Phoenix, AZ
  • 03/2018 → Present
    Milwaukee, WI
  • 10/2017 → 03/2018
    Tempe, AZ
  • 06/2015 → 09/2017
    Northwestern Mutual
    Phoenix, AZ
  • 05/2019 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
Previous Registrations
Other Businesses

THIRD COAST MILWAUKEE, LLC, MILWAUKEE, , WISCONSIN, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 4/1/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, I OWN AN LLC FOR LIABILITY PURPOSES ON YOGA TEACHING; NON-INVESTMENT RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-30
S63 Uniform Securities Agent State Law Examination 2012-05-01
  • S66 Uniform Combined State Law Examination
    2017-11-30
  • S63 Uniform Securities Agent State Law Examination
    2012-05-01
Other Names
  • Bethany K Zebell
  • Bethany Zebell

View on SEC IAPD

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