Beth Suzanne Feldman

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
NJ	RA	APPROVED	2011-06-13

NJ RA
APPROVED

Since 2011-06-13

Branch Locations

West Orange, NJ • United States

1515 S Federal Hwy Ste 208, Boca Raton, FL 33432 • 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

Organization	City	State	From	To
Northwestern Mutual Investment Services, Llc	New York	NY	06/2011	Present
Matthew Leopold	New York	NY	06/2011	Present
Lee Richardson	New York	NY	06/2011	08/2022
Northwestern Mutual Wealth Management Company	Milwaukee	WI	07/2011	Present
Lee Richardson	Milwaukee	WI	07/2011	08/2022
Spencer Cohen	New York	NY	11/2022	Present

06/2011 → Present

Northwestern Mutual Investment Services, Llc

New York, NY
06/2011 → Present

Matthew Leopold

New York, NY
06/2011 → 08/2022

Lee Richardson

New York, NY
07/2011 → Present

Northwestern Mutual Wealth Management Company

Milwaukee, WI
07/2011 → 08/2022

Lee Richardson

Milwaukee, WI
11/2022 → Present

Spencer Cohen

New York, NY

Previous Registrations

2010-08-26 → 2011-05-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
2008-08-19 → 2010-08-20

Pruco Securities, Llc.

East Hanover, NJ

Whippany, NJ

Other Businesses

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.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-08-14

S66 Uniform Combined State Law Examination

2008-08-14

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