John Bandy Garwood

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

Authority	Category	Status	Date
NC	RA	APPROVED	2007-10-01

NC RA
APPROVED

Since 2007-10-01

Branch Locations

6235 Carnegie Blvd, Charlotte, NC 28211 • 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

Organization	City	State	From	To
Northwestern Mutual Life Insurance Company	Milwaukee	WI	10/2005	Present
Northwestern Mutual Investment Services, Llc	Charlotte	NC	10/2005	Present
Northwestern Mutual Wealth Management Company	Milwaukee	WI	05/2007	Present

10/2005 → Present

Northwestern Mutual Life Insurance Company

Milwaukee, WI
10/2005 → Present

Northwestern Mutual Investment Services, Llc

Charlotte, NC
05/2007 → Present

Northwestern Mutual Wealth Management Company

Milwaukee, WI

Previous Registrations

2006-05-09 → 2007-04-30

Northwestern Mutual Wealth Management Company

Milwaukee, WI
2001-03-06 → 2005-10-05

First Citizens Investor Services, Inc.

Greensboro, NC

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. MOUNTAINEERDEAC, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 02/28/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. 100% OWNER, JBG GROUP, LLC, LEGAL ENTITY, START DATE: 02/28/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-03-25
S63	Uniform Securities Agent State Law Examination	1996-04-08

S65 Uniform Investment Adviser Law Examination

1998-03-25
S63 Uniform Securities Agent State Law Examination

1996-04-08

View on SEC IAPD