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Northwestern Mutual Investment Services, LLC CRD 2881
1 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-07-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Charlotte | NC | 01/2020 | 06/2021 |
| Northwestern Mutual Investment Services Llc | Charlotte | NC | 07/2021 | Present |
| John Barnes | Charlotte | NC | 06/2021 | Present |
| Richard Worrell | Charlotte | NC | 08/2016 | 02/2020 |
| Northwestern Mutual Invesment Services Llc | Charlotte | NC | 08/2016 | 01/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 07/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2017-04-12 |
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