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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 APPROVED 2007-11-06
  • CA RA
    APPROVED
    Since 2007-11-06

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
Northwestern Mutual Life Milwaukee WI 10/1996 Present
Northwestern Mutual Investment Services, Llc Los Angeles CA 11/1996 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 10/1996 → Present
    Northwestern Mutual Life
    Milwaukee, WI
  • 11/1996 → Present
    Los Angeles, CA
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2007-01-09 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR OCCASIONAL SALES OF LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. 2. OWNER, BK2C2B, LLC, LEGAL ENTITY, START DATE: 12/31/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. OWNER, FORWARD IN FAITH, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 12/30/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-10
S63 Uniform Securities Agent State Law Examination 1997-01-16
  • S65 Uniform Investment Adviser Law Examination
    2006-01-10
  • S63 Uniform Securities Agent State Law Examination
    1997-01-16

View on SEC IAPD

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