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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
LA RA APPROVED 2012-12-21
  • LA RA
    APPROVED
    Since 2012-12-21

Branch Locations

111 Veterans Mem Blvd Ste 940, Metairie, LA 70005 • 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 Metairie LA 10/2012 Present
Steven Dugal Metairie LA 10/2012 01/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2015 Present
Northwestern Mutual Mdetairie LA 12/2012 Present
Emmett Dupas Metairie LA 02/2017 Present
  • 10/2012 → Present
    Metairie, LA
  • 10/2012 → 01/2017
    Steven Dugal
    Metairie, LA
  • 09/2015 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 12/2012 → Present
    Northwestern Mutual
    Mdetairie, LA
  • 02/2017 → Present
    Emmett Dupas
    Metairie, LA
Other Businesses

1. 50% Owner, Rental property, 80385 7th St, Covington, la 70433, Owns with husband. investment related. 2. ROCCO HOLDINGS LLC, 608 BOCAGE CT N, COVINGTON, , LOUISIANA, 70433, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 01/15/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NONE. INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-19
S63 Uniform Securities Agent State Law Examination 2005-11-07
  • S65 Uniform Investment Adviser Law Examination
    2012-12-19
  • S63 Uniform Securities Agent State Law Examination
    2005-11-07
Other Names
  • Cristin Ann Hand
  • Cristin Ann Demarco
  • Cristin Ann Hand

View on SEC IAPD

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