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Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2026-07-08
  • WI RA
    APPROVED
    Since 2026-07-08

Branch Locations

210 W Becher St Ste 170, Milwaukee, WI 53207 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Northwestern Mutual Life Insurance C Milwaukee WI 12/1991 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 01/1992 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 12/1991 → Present
    The Northwestern Mutual Life Insurance C
    Milwaukee, WI
  • 01/1992 → Present
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2003-05-27 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. 100% OWNER, 7951, LLC, LEGAL ENTITY, START DATE: 1/1/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SINGLE MEMBER 2. 50% OWNER, BMC HOLDINGS, INC, LEGAL ENTITY, START DATE: 8/29/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER/PRINCIPAL 3. OWNER, BMC SOLUTIONS, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 8/29/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 4. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, INVESTMENT RELATED. 5. 24% OWNER, SCENIC EGG HARBOR HOME, LLC, 7941 STATE HWY 42, EGG HARBOR, , WISCONSIN, 54209, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 5/2/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CO-MEMBER AND MANAGER

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-20
S63 Uniform Securities Agent State Law Examination 1991-11-19
  • S65 Uniform Investment Adviser Law Examination
    1999-12-20
  • S63 Uniform Securities Agent State Law Examination
    1991-11-19
Other Names
  • Sy Maleki

View on SEC IAPD

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