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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
WI RA APPROVED 2009-01-06
  • WI RA
    APPROVED
    Since 2009-01-06

Branch Locations

4620 N. Ballard Rd, Appleton, WI 54913 • 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 Milwaukee WI 12/1998 Present
Uw Milwaukee Milwaukee WI 01/1999 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 06/1999 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 12/1998 → Present
    Northwestern Mutual Life
    Milwaukee, WI
  • 01/1999 → Present
    Uw Milwaukee
    Milwaukee, WI
  • 06/1999 → Present
    Milwaukee, WI
  • 01/2016 → 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

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-06-23
  • S63 Uniform Securities Agent State Law Examination
    2000-06-23
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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