Herschel Ambrose Harvey

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

Authority	Category	Status	Date
SC	RA	APPROVED	2025-01-14

SC RA
APPROVED

Since 2025-01-14

Branch Locations

1080 Morrison Dr Ste 210, Charleston, SC 29403 • 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

Organization	City	State	From	To
Northwestern Mutual Life Ins	Milwaukee	WI	12/1988	Present
Northwestern Mutual Investment Services, Llc	Charlotte	NC	10/1989	Present
Northwestern Mutual Wealth Management Company	Milwaukee	WI	01/2016	Present

12/1988 → Present

Northwestern Mutual Life Ins

Milwaukee, WI
10/1989 → Present

Northwestern Mutual Investment Services, Llc

Charlotte, NC
01/2016 → Present

Northwestern Mutual Wealth Management Company

Milwaukee, WI

Other Businesses

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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-11-28
S63	Uniform Securities Agent State Law Examination	2000-06-05

S65 Uniform Investment Adviser Law Examination

2009-11-28
S63 Uniform Securities Agent State Law Examination

2000-06-05

Other Names

Herschel Ambrose Iii Harvey

View on SEC IAPD