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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
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

18575 Jamboree Rd Ste 400, Irvine, CA 92612 • 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
Worldwide Express Santa Ana CA 01/2011 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 08/2021 Present
Northwestern Mutual Investment Services Llc Irvine CA 08/2021 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2022 Present
  • 01/2011 → Present
    Worldwide Express
    Santa Ana, CA
  • 08/2021 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 08/2021 → Present
    Irvine, CA
  • 06/2022 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. 100% OWNER, MERCHANDISE SALES, 2000 CORPORATE DR. SUITE 910, LADERA RANCH, , CALIFORNIA, 92694, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 2/3/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BUYING A SELLING MERCHANDISE AS SOME SIDE MONEY non-investment related. 2. 42.5% OWNER, OUTSIDE SHIPPING CONSULTANT, 2000 CORPORATE DR. SUITE 910, LADERA RANCH, , CALIFORNIA, 92694, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 2/3/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CONNECT LOCAL BUSINESSES WITH UNISHIPPERS SHIPPING SERVICES - WHO IS A SHIPPING COMPANY OWNED BY WORLDWIDE EXPRESS MY OLD COMPANY; NOT INVESTMENT RELATED. 3. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, NON INVESTMENT RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-26
  • S66 Uniform Combined State Law Examination
    2022-02-26
Other Names
  • Steven Anderson

View on SEC IAPD

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