Best Investors Account Sign in
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
TX RA APPROVED 2014-09-24
  • TX RA
    APPROVED
    Since 2014-09-24

Branch Locations

2445 Technology Forest Ste 550, The Woodlands, TX 77381 • 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 Insurance Company Milwaukee WI 08/2008 Present
Northwestern Mutual Investment Services, Llc Houston TX 06/2009 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 08/2008 → Present
    Northwestern Mutual Insurance Company
    Milwaukee, WI
  • 06/2009 → Present
    Houston, TX
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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; NON INVESTMENT-RELATED. 2) PRESIDENT, KLEIN COLLINS VOLLEYBALL BOOSTER CLUB, 20811 ELLA BLVD, SPRING, , TEXAS, 77388, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 08/13/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I WILL SERVE AS PRESIDENT OF THE BOOSTER CLUB; NON INVESTMENT-RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-18
S63 Uniform Securities Agent State Law Examination 2009-08-21
  • S65 Uniform Investment Adviser Law Examination
    2014-09-18
  • S63 Uniform Securities Agent State Law Examination
    2009-08-21

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in The Woodlands, TX

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor