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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
MD RA APPROVED 2003-09-04
  • MD RA
    APPROVED
    Since 2003-09-04

Branch Locations

307 International Cir Ste 310, Hunt Valley, MD 21030 • 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 Insurance Company Milwaukee WI 04/1989 Present
Northwestern Mutual Investment Services, Llc Baltimore MD 04/1990 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2013 Present
  • 04/1989 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 04/1990 → Present
    Baltimore, MD
  • 01/2013 → 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. 50% OWNERSHIP, FOX AND HOUND LLC, LEGAL ENTITY, START DATE: 8/5/2020, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, ADMINISTRATIVE, MANAGERIAL AND POLICYMAKING DECISIONS (OWNER), INVESTMENT RELATED 3. 100% OWNER, VOODOO, LLC RECEIVING WMC COMPENSATION, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/1/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER/FOUNDER/MANAGERIAL ADMINISTRATIVE OVERSIGHT

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-13
S63 Uniform Securities Agent State Law Examination 1991-10-31
  • S66 Uniform Combined State Law Examination
    2005-10-13
  • S63 Uniform Securities Agent State Law Examination
    1991-10-31
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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