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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
NJ RA APP_PEND_IARCE 2026-01-01
  • NJ RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

500 Bi County Blvd Suite 200E, Farmingdale, NY 11735 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 12/2012 Present
Northwestern Mutual Investment Services, Llc Farmingdale NY 04/2013 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 12/2012 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 04/2013 → Present
    Farmingdale, NY
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. OUTSIDE INSURANCE GENERAL SALES/SERVICING, GENERAL SALES/SERVICING, START DATE: 10/30/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OUTSIE INSURANCE SALES THROUGH MUTUAL OF OMAHA 2. 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
S65 Uniform Investment Adviser Law Examination 2014-11-17
S63 Uniform Securities Agent State Law Examination 2013-08-16
  • S65 Uniform Investment Adviser Law Examination
    2014-11-17
  • S63 Uniform Securities Agent State Law Examination
    2013-08-16

View on SEC IAPD

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