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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
AZ RA APPROVED 2024-10-09
IL RA APPROVED 2006-02-02
  • AZ RA
    APPROVED
    Since 2024-10-09
  • IL RA
    APPROVED
    Since 2006-02-02

Branch Locations

2201 E Camelback Rd Ste 400, Phoenix, AZ 85016 • 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
Nwm Milwaukee WI 07/1989 Present
Northwestern Mutual Investment Services, Llc Chicago IL 03/1990 12/2023
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
Northwestern Mutual Investment Services Llc Phoenix AZ 01/2024 Present
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
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-07-21
  • S63 Uniform Securities Agent State Law Examination
    1990-07-21
Designations
  • Chartered Financial Consultant
Other Names
  • Rajesh Shah
  • Rajesh Arvind Shah

View on SEC IAPD

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