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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
KS RA APPROVED 2022-12-20
  • KS RA
    APPROVED
    Since 2022-12-20

Branch Locations

6601 College Blvd Ste 140, Overland Park, KS 66211 • 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
Off Broadway Shoe Warehouse Overland Park KS 03/2016 03/2020
Student Manhattan KS 01/2011 Present
First United Methodist Church Manhattan KS 11/2018 03/2020
Kansas State University Manhattan KS 01/2020 Present
Powercat Finanical Manhattan KS 01/2021 Present
Ryan George Leawood KS 05/2020 05/2021
Ryan George Leawood KS 06/2021 Present
Northwestern Mutual Investment Services Llc Leawood KS 03/2021 05/2022
Northwestern Mutual Investment Services Llc Overland Park KS 11/2022 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 07/2023 Present
  • 03/2016 → 03/2020
    Off Broadway Shoe Warehouse
    Overland Park, KS
  • 01/2011 → Present
    Student
    Manhattan, KS
  • 11/2018 → 03/2020
    First United Methodist Church
    Manhattan, KS
  • 01/2020 → Present
    Kansas State University
    Manhattan, KS
  • 01/2021 → Present
    Powercat Finanical
    Manhattan, KS
  • 05/2020 → 05/2021
    Ryan George
    Leawood, KS
  • 06/2021 → Present
    Ryan George
    Leawood, KS
  • 03/2021 → 05/2022
    Leawood, KS
  • 11/2022 → Present
    Overland Park, KS
  • 07/2023 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-17
  • S66 Uniform Combined State Law Examination
    2022-12-17
Other Names
  • Claire E Herrmann
  • Claire E Herrmann

View on SEC IAPD

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