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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
IA RA APPROVED 2011-01-12
  • IA RA
    APPROVED
    Since 2011-01-12

Branch Locations

1810 Sw Plaza Shops Ln Ste G, Ankeny, IA 50023 • 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 09/2005 Present
Northwestern Mutual Investment Services, Llc Des Moines IA 08/2006 Present
Pinnacle Security, Llc Provo UT 02/2003 Present
Northwestern Mutual Investment Services, Llc Des Moines IA 05/2011 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2014 Present
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. 100% OWNER, JCT CONSULTING, ESTABLISHED TO PAY EXPENSES, <1 HR/MO., INVESTMENT RELATED, START 01/09 3. TREASURER, SOCIETY OF FINANCIAL SERVICES PROFESSIONAL, DSM GOLF AND COUNTRY CLUB, WEST DES MOINES, , IOWA, 50266, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 6/21/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OVERSEA LOCAL CHAPTER 4. THRAP INC., LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 10/10/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. DBJ WM, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/1/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-01-11
S63 Uniform Securities Agent State Law Examination 2006-09-26
  • S65 Uniform Investment Adviser Law Examination
    2011-01-11
  • S63 Uniform Securities Agent State Law Examination
    2006-09-26

View on SEC IAPD

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