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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
AZ RA APPROVED 2023-03-01
IN RA APPROVED 2023-02-24
  • AZ RA
    APPROVED
    Since 2023-03-01
  • IN RA
    APPROVED
    Since 2023-02-24

Branch Locations

111 E Rivulon Blvd Suite 101, Gilbert, AZ 85297 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Scottsdale AZ 09/2008 09/2019
Brightside Benefit, Inc. Chandler AZ 10/2019 04/2021
Northwestern Mutual Life Insurance Company Milwaulkee WI 05/2021 02/2023
Northwestern Mutual Investment Services Llc Milwaukee WI 06/2021 Present
Mark E Wise Indianapolis IN 02/2023 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2023 Present
  • 09/2008 → 09/2019
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 10/2019 → 04/2021
    Brightside Benefit, Inc.
    Chandler, AZ
  • 05/2021 → 02/2023
    Northwestern Mutual Life Insurance Company
    Milwaulkee, WI
  • 06/2021 → Present
    Milwaukee, WI
  • 02/2023 → Present
    Mark E Wise
    Indianapolis, IN
  • 09/2023 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-08-25
S63 Uniform Securities Agent State Law Examination 2008-10-20
  • S65 Uniform Investment Adviser Law Examination
    2017-08-25
  • S63 Uniform Securities Agent State Law Examination
    2008-10-20
Other Names
  • David R Sebring

View on SEC IAPD

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