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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
NC RA APPROVED 2025-08-27
  • NC RA
    APPROVED
    Since 2025-08-27

Branch Locations

6235 Carnegie Blvd, Charlotte, NC 28211 • 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
Securian Financial Services Inc Saint Paul MN 03/2020 07/2022
Commonwealth Financial Group Charleston SC 03/2020 07/2022
Shelter Lending Services Charleston SC 01/2018 02/2020
Eagle Home Mortgage Charleston SC 06/2016 10/2017
Securian Financial Services Saint Paul MN 02/2020 03/2020
Commonwealth Financial Group Daniel Island SC 02/2020 03/2020
Linden Thomas & Company Securities, Llc Charlotte NC 08/2022 02/2024
Linden Thomas & Company Securities, Llc Charlotte NC 10/2024 03/2025
Unemployed Charlotte NC 02/2024 04/2024
Telos Wealth Advisors Charlotte NC 04/2024 10/2024
John Barnes Charlotte NC 05/2025 Present
Northwestern Mutual Investment Services Llc Charlotte NC 07/2025 Present
Drew Pavlov Charlotte NC 10/2025 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2025 Present
  • 03/2020 → 07/2022
    Securian Financial Services Inc
    Saint Paul, MN
  • 03/2020 → 07/2022
    Commonwealth Financial Group
    Charleston, SC
  • 01/2018 → 02/2020
    Shelter Lending Services
    Charleston, SC
  • 06/2016 → 10/2017
    Eagle Home Mortgage
    Charleston, SC
  • 02/2020 → 03/2020
    Securian Financial Services
    Saint Paul, MN
  • 02/2020 → 03/2020
    Commonwealth Financial Group
    Daniel Island, SC
  • 08/2022 → 02/2024
    Linden Thomas & Company Securities, Llc
    Charlotte, NC
  • 10/2024 → 03/2025
    Linden Thomas & Company Securities, Llc
    Charlotte, NC
  • 02/2024 → 04/2024
    Unemployed
    Charlotte, NC
  • 04/2024 → 10/2024
    Telos Wealth Advisors
    Charlotte, NC
  • 05/2025 → Present
    John Barnes
    Charlotte, NC
  • 07/2025 → Present
    Charlotte, NC
  • 10/2025 → Present
    Drew Pavlov
    Charlotte, NC
  • 11/2025 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-20
  • S66 Uniform Combined State Law Examination
    2020-07-20
Other Names
  • James Roger Poole
  • James Roger Poole

View on SEC IAPD

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