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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
OH RA APPROVED 2005-08-31
  • OH RA
    APPROVED
    Since 2005-08-31

Branch Locations

950 Main Ave Ste 600, Cleveland, OH 44113 • 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 Investment Services, Llc Akron OH 08/1990 Present
Northwestern Mutual Life Cleveland Oh Milwaukee WI 01/1994 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2011 Present
Ohio Masters Swim Club Lakewood OH 10/2024 Present
  • 08/1990 → Present
    Akron, OH
  • 01/1994 → Present
    Northwestern Mutual Life
    Cleveland Oh Milwaukee, WI
  • 11/2011 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 10/2024 → Present
    Ohio Masters Swim Club
    Lakewood, OH
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% OWNER, RENTAL PROPERTY, 27087 OAKWOOD CIRCLE #102, OLMSTED FALLS, , OHIO, 44138, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 1/1/2015, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, RENT CONDO TO DAUGHTER. INVESTMENT RELATED. 3. CERTIFIED SWIM COACH, OHIO MASTERS SWIM CLUB, 14100 FRANKLIN BLVD, LAKEWOOD, , OHIO, 44107, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 10/08/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SUBSTITUTE SWIM COACHING FOR MASTERS SWIMMING WORK OUT GROUP AS NEEDED BASIS. NON INVESTMENT RELATED. 3. TREASURER, USA SWIMMING / USA SWIMMING FOUNDATION, 1 OLYMPIC PLAZA, COLORADO SPRINGS, , COLORADO, 80909, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 3/1/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SERVE ON THE USA SWIMMING FOUNDATION INVESTMENT COMMITTEE , 4 MEETINGS PER YEAR , OVERSIGHT 4. DEVELOPMENT CHAIR, CORNERSTONE OF HOPE, 5905 BRECKSVILLE ROAD, INDEPENDENCE O, , OHIO, 44131, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 01/08/2018, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, DEVELOMENT CHAIR, AND EXECUTIVE COMMITTEE 5. DIVISIONAL VICE PRESIDENT, MILLION DOLLAR ROUND TABLE, 325 W TOUHY AVE, PARKRIDGE, , OHIO, 60068, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 01/08/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, DIVISIONAL VICE PRESIDENT FOR 2018 OVER SEE CONTENT DEVELOMENT COMMITTEE'S 6. COMMUNITY ACTIVITY FIDUCIARY CAPACITY, 1 OLYMPIC PLAZA, COLORADO SPRINGS, , COLORADO, 80909, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 3/30/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SERVE ON THE USA SWIMMING FOUNDATION INVESTMENT COMMITTEE , 4 MEETINGS PER YEAR , OVERSIGHT. INVESTMENT RELATED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-08-12
  • S63 Uniform Securities Agent State Law Examination
    1998-08-12
Other Names
  • Jay M Definis

View on SEC IAPD

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