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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 2024-07-17
  • WI RA
    APPROVED
    Since 2024-07-17

Branch Locations

720 E Wisconsin Ave, Milwaukee, WI 53202 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co. Milwaukee WI 11/2014 05/2024
Northwestern Mutual Life Insurance Company Milwaukee WI 05/2024 Present
Northwestern Mutual Investment Services Llc Milwaukee WI 07/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-18
  • S66 Uniform Combined State Law Examination
    2017-05-18

View on SEC IAPD

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