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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
NY RA APPROVED 2024-07-17
  • NY RA
    APPROVED
    Since 2024-07-17

Branch Locations

300 Madison Ave Fl 25, New York, NY 10017 • 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 Life Insurance Compa Milwaukee WI 11/1991 Present
Northwestern Mutual Investment Services, Llc Philadelphia PA 07/1992 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 11/1991 → Present
    Northwestern Mutual Life Insurance Compa
    Milwaukee, WI
  • 07/1992 → Present
    Philadelphia, PA
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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) 80% OWNER, CPAF 245, LLC, LEGAL ENTITY - RECEIVING WMC AND RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 12/17/2021, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-25
S63 Uniform Securities Agent State Law Examination 1992-10-28
  • S66 Uniform Combined State Law Examination
    2006-09-25
  • S63 Uniform Securities Agent State Law Examination
    1992-10-28
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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