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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
CO RA APPROVED 2016-02-25
  • CO RA
    APPROVED
    Since 2016-02-25

Branch Locations

1873 S Bellaire St Ste 1600, Denver, CO 80222 • United States

Ault, CO • 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
Ross Alisiani Denver CO 10/2015 Present
Northwestern Mutual Investment Services Llc Denver CO 11/2015 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 03/2016 Present
Scott Sparks Denver CO 10/2023 Present
  • 10/2015 → Present
    Ross Alisiani
    Denver, CO
  • 11/2015 → Present
    Denver, CO
  • 03/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 10/2023 → Present
    Scott Sparks
    Denver, CO
Other Businesses

1. 50% OWNER, THE SIMPLE WARRIOR LLC, 8111 E. YALE AVE., APT. 6-206, DENVER, , COLORADO, 80231, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 02/20/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CO-OWNER, BUSINESS OPERATIONS, BACK OFFICE ADMINSTRATION. 2. REFLECT, 623 SANTA FE TRAIL, AULT, , COLORADO, 80610, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 2/19/2019, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, CO-OWNER, BUSINESS OPERATIONS, BACK OFFICE ADMINSTRATION. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-24
  • S66 Uniform Combined State Law Examination
    2016-02-24
Other Names
  • Trent Michael Jones

View on SEC IAPD

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