John Carroll

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2019 → 12/2023
  Mutual Of Omaha Insurance Company
  Lexington, KY
• 05/2019 → 12/2023
  Mutual Of Omaha Investor Services
  Lexington, KY
• 05/2018 → 05/2019
  Athletx
  Louisville, KY
• 08/2015 → 05/2018
  Idle Hour Country Club
  Lexington, KY
• 12/2023 → 11/2024
  Pruco Securities, Llc
  Wauwatosa, WI
• 12/2023 → 11/2024
  The Prudential Insurance Co. Of America
  Wauwatosa, WI
• 11/2024 → 03/2025
  Lpl Enterprise, Llc
  Wauwatosa, WI
• 12/2024 → Present
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 05/2025 → Present
  Northwestern Mutual Investment Services Llc
  Milwaukee, WI

Previous Registrations

• 2024-11-14 → 2025-03-24
  Lpl Enterprise, Llc
  Wauwatosa, WI
• 2023-12-14 → 2024-11-14
  Pruco Securities, Llc.
  Wauwatosa, WI
• 2020-01-01 → 2023-12-13
  Mutual Of Omaha Investor Services, Inc.
  Lexington, KY
  Louisville, KY
  Louisville, KY
  Glen Allen, VA

Exams

• S63 Uniform Securities Agent State Law Examination
  2024-01-20
• S65 Uniform Investment Adviser Law Examination
  2019-12-27

Other Names

• Connor Carroll