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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
CO RA APPROVED 2009-06-02
  • CO RA
    APPROVED
    Since 2009-06-02

Branch Locations

1873 S Bellaire St Ste 1600, Denver, CO 80222 • United States

Arvada, CO • 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
Scott Theodore Denver CO 09/2008 02/2025
Northwestern Mutual Investment Services, Llc Denver CO 09/2008 Present
Kohls Department Store Parker CO 09/2003 Present
Ross Alisiani Denver CO 03/2025 Present
  • 09/2008 → 02/2025
    Scott Theodore
    Denver, CO
  • 09/2008 → Present
    Denver, CO
  • 09/2003 → Present
    Kohls Department Store
    Parker, CO
  • 03/2025 → Present
    Ross Alisiani
    Denver, CO
Other Businesses

1. KOHL'S; 11485 S. 20 MILE ROAD, PARKER, CO 80138; RETAIL; SALES WORKER; 9/2003; I WORK APPROXIMATELY 8-10 HOURS A WEEK; NONE OF THE HOURS ARE DURING SECURITIES TRADING HOURS; THIS IS NOT AN INVESTMENT RELATED BUSINESS; MERCHANDISE HANDLING AND REPLENISHMENT, PRICE CHANGES AND MARKDOWNS OF MERCHANDISE. 2. POA/EXECUTOR, RIENELLE J MARETECH, 8819 GORE ST, ARVADA, , COLORADO, 80007, UNITED STATES OF AMERICA, POA/EXECUTOR, START DATE: 10/9/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TO CARRY OUT INSTRUCTIONS OF WILL; COMPENSATED/IMMEDIATE FAMILY MEMBER; NOT INVESTMENT-RELATED. 3. 25% OWNER, 116 W COKEDALE DRIVE LLP AND 747 E ELTON AVENUE LLP, 10025 W 74TH PLACE, ARVADA, , COLORADO, 80005, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 01/16/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NONE HAVE 25% OWNERSHIP OF TWO PROPERTIES WITH OTHERS BEING 25% OWNERSHIP MAUREEN WILLIAMS AND 50% OWNERSHIP KYLE MARETECH. NON INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-06-01
S63 Uniform Securities Agent State Law Examination 1992-11-19
  • S65 Uniform Investment Adviser Law Examination
    2009-06-01
  • S63 Uniform Securities Agent State Law Examination
    1992-11-19

View on SEC IAPD

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