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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
UT RA APPROVED 2023-02-24
  • UT RA
    APPROVED
    Since 2023-02-24

Branch Locations

Springville, UT • United States

111 East Broadway Suite 1400, Salt Lake Cty, UT 84111-5260 • 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 Life Insurance Company Milwaukee WI 02/2015 Present
Northwestern Mutual Investment Services Llc Colorado Spgs CO 02/2015 02/2024
Preserving Freedom Family And Community Colorado Springs CO 09/2014 Present
Pike'S Peak Energy Network Colorado Springs CO 01/2015 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2016 Present
Northwestern Mutual Investment Services Llc Provo UT 02/2024 Present
  • 02/2015 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 02/2015 → 02/2024
    Colorado Spgs, CO
  • 09/2014 → Present
    Preserving Freedom Family And Community
    Colorado Springs, CO
  • 01/2015 → Present
    Pike'S Peak Energy Network
    Colorado Springs, CO
  • 02/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 02/2024 → Present
    Provo, UT
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. BUSINESS OWNERSHIP/SELF EMPLOYED OTHER NON-FINANCIAL SERVICES BUSINESS, 50% Owner Highlands Hotwash LLC, LOT 4 SOUTH ACADEMY HIGHLANDS, FOUNTAIN, COLORADO, 80906, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 8/24/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-23
  • S66 Uniform Combined State Law Examination
    2015-06-23
Other Names
  • Don Sperry Redd

View on SEC IAPD

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