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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
NC RA APPROVED 2007-10-05
  • NC RA
    APPROVED
    Since 2007-10-05

Branch Locations

1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • 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 Company Milwaukee WI 03/2005 Present
Northwestern Mutual Investment Services, Llc Raleigh NC 05/2006 Present
John Mitchell Raleigh NC 02/2006 05/2020
Samuel Brewer Raleigh NC 06/2012 05/2020
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 03/2005 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 05/2006 → Present
    Raleigh, NC
  • 02/2006 → 05/2020
    John Mitchell
    Raleigh, NC
  • 06/2012 → 05/2020
    Samuel Brewer
    Raleigh, NC
  • 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. OWNER, MBP OF WAKE, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 6/26/2020, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. 50% OWNER, 535 SIDBURY AVE, 535 SIDBURY AVE, HOLLY RIDGE, , NORTH CAROLINA, 28445, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 09/26/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NONE, ALL ASPECTS ARE HANDLED BY MY WIFE. NON-INVESTMENT RELATED. 4. OWNER, JUNE1, LLC, LEGAL ENTITY, START DATE: 07/15/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. OWNER, MBP OF WAKE, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 10/22/2025, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 6. OWNER, BRIDGES ABIDES, LLC, NON-FINANCIAL SERVICES BUSINESS, START DATE: 7/16/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, FORMED AN LLC TO BE A HOLDING ENTITY FOR A COMMERCIAL REAL ESTATE BUILDING. REAL ESTATE PURCHASE DID NOT OCCUR, BUT I SET UP THE LLC. NON INVESTMENT-RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-29
  • S66 Uniform Combined State Law Examination
    2006-09-29

View on SEC IAPD

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