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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
TN RA APPROVED 2012-03-02
  • TN RA
    APPROVED
    Since 2012-03-02

Branch Locations

208 Sunset Dr Ste 401, Johnson City, TN 37604 • 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
The Northwestern Mutual Life Insurance Company Milwaukee WI 05/2000 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 01/2000 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 05/2000 → Present
    The Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2000 → Present
    Milwaukee, WI
  • 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. OWNER, SJJCTJ, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 01/27/2023, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-02-25
S63 Uniform Securities Agent State Law Examination 2001-03-16
  • S65 Uniform Investment Adviser Law Examination
    2012-02-25
  • S63 Uniform Securities Agent State Law Examination
    2001-03-16
Other Names
  • Matthew Rhea Johnson

View on SEC IAPD

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