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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
NC RA APPROVED 2010-04-14
  • NC RA
    APPROVED
    Since 2010-04-14

Branch Locations

1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • 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 Investment Services, Llc Raleigh NC 12/2008 Present
John Mitchell Raleigh NC 12/2008 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 07/2010 Present
Samuel Brewer Raleigh NC 07/2012 Present
Kyle Parker Raleigh NC 01/2021 Present
  • 12/2008 → Present
    Raleigh, NC
  • 12/2008 → Present
    John Mitchell
    Raleigh, NC
  • 07/2010 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 07/2012 → Present
    Samuel Brewer
    Raleigh, NC
  • 01/2021 → Present
    Kyle Parker
    Raleigh, NC
Other Businesses

1. OWNER, MBP OF WAKE, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 07/15/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 2. OWNER, L. HARPER, LLC, LEGAL ENTITY, START DATE: 08/22/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. OWNER, MBP OF WAKE, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 10/22/2025, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 4. OWNER, BRIDGES ABIDES, LLC, NON-FINANCIAL SERVICES BUSINESS, START DATE: 7/16/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, FORMED AN LLC TO BE A HOLDING ENTITY FOR A COMMERCIAL REAL ESTATE BUILDING. REAL ESTATE PURCHASE DID NOT OCCUR, BUT I SET UP THE LLC; NON INVESTMENT-RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-02-24
  • S66 Uniform Combined State Law Examination
    2010-02-24

View on SEC IAPD

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