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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 2019-12-18
  • CO RA
    APPROVED
    Since 2019-12-18

Branch Locations

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

Castle Rock, CO • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tom Goris Skokie IL 03/2014 12/2019
Northwestern Mutual Investment Services, Llc Skokie IL 03/2014 Present
Scott Theodore Denver CO 01/2020 Present
Previous Registrations
  • 2010-09-09 → 2014-01-03
    Edelman Financial Services, Llc
    Fairfax, VA
    Glenview, IL
  • 2008-03-24 → 2010-08-12
    Schaumburg, IL
    Schaumburg, IL
    Naperville, IL
    Katy, TX
    Mundelein, IL
    Greenville, SC
    Spokane, WA
    Lakeland, FL
    Schaumburg, IL
    Frankfort, IL
    Englewood Cliffs, NJ
    Scottsdale, AZ
    Glen Allen, VA
    Naperville, IL
  • 2005-04-07 → 2008-03-17
    Skokie, IL
    Skokie, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-16
S63 Uniform Securities Agent State Law Examination 1994-07-21
  • S66 Uniform Combined State Law Examination
    2005-03-16
  • S63 Uniform Securities Agent State Law Examination
    1994-07-21
Other Names
  • Kristy Branstetter
  • Kristy Lyn Bransletter
  • Kristy Lyn Branstetter
  • Kristy Lyn Foster
  • Kristy Lynn Hopkins

View on SEC IAPD

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