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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
VA RA APPROVED 2023-05-19
  • VA RA
    APPROVED
    Since 2023-05-19

Branch Locations

Richmond, VA • United States

1515 S Federal Hwy Ste 208, Boca Raton, FL 33432 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Guardian Life Insurance Company Raleigh NC 07/2007 02/2019
Hancock Whitney New Orleans LA 03/2019 01/2022
Raymond James Richmond VA 02/2022 04/2023
Northwestern Mutual Investment Services Llc Fort Myers FL 04/2023 Present
Joseph Small Fort Myers FL 04/2023 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2023 Present
  • 07/2007 → 02/2019
    Guardian Life Insurance Company
    Raleigh, NC
  • 03/2019 → 01/2022
    Hancock Whitney
    New Orleans, LA
  • 02/2022 → 04/2023
    Raymond James
    Richmond, VA
  • 04/2023 → Present
    Fort Myers, FL
  • 04/2023 → Present
    Joseph Small
    Fort Myers, FL
  • 09/2023 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Other Businesses

100% OWNER, 5891 SHADY GROVE CIRCLE, 5891 SHADY GROVE CIRCLE, RALEIGH, , NORTH CAROLINA, 27609, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 2/21/2008, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MAKE FINAL DECISIONS AROUND REPAIRS, NEW TENANTS, ETC. A MANAGEMENT COMPANY HANDLES ALL DAY-TO-DAY NEEDS FOR ME.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-16
  • S66 Uniform Combined State Law Examination
    2005-11-16

View on SEC IAPD

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