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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
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

18575 Jamboree Rd Ste 400, Irvine, CA 92612 • 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 Glendora CA 03/1994 Present
Northwestern Mutual Life Insurnace Company Milwaukee WI 04/1992 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 03/1994 → Present
    Glendora, CA
  • 04/1992 → Present
    Northwestern Mutual Life Insurnace Company
    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. 2. 100% OWNER, 862 CINNAMON LANE, DUARTE, CA, AND 9362 CHAUNCY DR, SAN DIEGO, RENTAL PROPERTY, 2-3 HOURS PER MONTH. INVESTMENT RELATED. 3. TREASURER, ALL FORES GOLF CLUB, INC., NON-PROFIT, START DATE: 05/07/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER 4. 50% OWNER, 462 FERNCLIFF COVE, 462 FERNCLIFF COVE, MEMPHIS, , TENNESSEE, 38127, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 6/1/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ACCOUNTING 5. OWNER, CHEAP SAX, 1017 ENTRADA WAY, GLENDORA, , CALIFORNIA, 91741, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 08/05/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, MUSICIAN IN THE BAND, NON-INVESTMENT RELATED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-02-27
  • S63 Uniform Securities Agent State Law Examination
    1996-02-27
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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