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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
NY RA APPROVED 2024-02-27
  • NY RA
    APPROVED
    Since 2024-02-27

Branch Locations

50 Washington St Ste 600W, Norwalk, CT 06854 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 11/1993 Present
Northwestern Mutual Investment Services, Llc New York NY 01/1997 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 11/1993 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/1997 → Present
    New York, NY
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2003-06-13 → 2007-04-30
    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) 95% OWNER, 4GVP, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 01/23/2020, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+,

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-18
S63 Uniform Securities Agent State Law Examination 1997-03-07
  • S65 Uniform Investment Adviser Law Examination
    1998-08-18
  • S63 Uniform Securities Agent State Law Examination
    1997-03-07
Designations
  • Certified Financial Planner

View on SEC IAPD

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