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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
LA RA APPROVED 2015-02-10
  • LA RA
    APPROVED
    Since 2015-02-10

Branch Locations

111 Veterans Mem Blvd Ste 940, Metairie, LA 70005 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Investment Services, Llc Metairie LA 06/2005 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 04/2005 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 06/2005 → Present
    Metairie, LA
  • 04/2005 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. 2. 100% OWNER, 600-602 UPPERLINE ST, 600-602 UPPERLINE ST, NEW ORLEANS, , LOUISIANA, 70115, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 10/31/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PROPERTY OWNER, COLLECT RENT, MANAGE PROPERTY.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-01-24
  • S63 Uniform Securities Agent State Law Examination
    2014-01-24
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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