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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
WI RA APPROVED 2012-03-15
  • WI RA
    APPROVED
    Since 2012-03-15

Branch Locations

720 E Wisconsin Ave, Milwaukee, WI 53202 • 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 Milwaukee WI 03/2012 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 02/2012 Present
The Village Of Germantown Parks And Recreation Germantown WI 03/2017 Present
Village Of Germantown Germantown WI 11/2019 Present
  • 03/2012 → Present
    Milwaukee, WI
  • 02/2012 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 03/2017 → Present
    The Village Of Germantown Parks And Recreation
    Germantown, WI
  • 11/2019 → Present
    Village Of Germantown
    Germantown, WI
Previous Registrations
  • 2011-10-20 → 2012-02-10
    Chase Investment Services Corp.
    Milwaukee, WI
    New Berlin, WI
    Mequon, WI
    Milwaukee, WI
    Milwaukee, WI
Other Businesses

1.COMMITTEE MEMBER, THE VILLAGE OF GERMANTOWN PARKS AND RECREATION COMMISSION, N112 W17001 MEQUON ROAD, GERMANTOWN, , WISCONSIN, 53022, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 03/02/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I WILL SIT ON THE PARKS AND RECREATION COMMISSION TO OVERSEE THE VILLAGE'S RECREATIONAL OPPORTUNITIES AND CONCERNS. 2. VOTER RESOURCE, VILLAGE OF GERMANTOWN, N112W17001 MEQUON ROAD, GERMANTWON, , WISCONSIN, 53022, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 11/04/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MY RESPONSIBILITIES WILL BE TO PROVIDE THE RESIDENTS OF GERMANTOWN VOTING INSTRUCTIONS DURING THE 2020 ELECTION SEASON. I WILL ONLY BE VERIFYING VOTER REGISTRATION AND PROVIDING RESOURCES (BALLOTS, PENS, ETC.) TO THE RESIDENTS. THERE IS NO INFLUENCE OF WHAT CANDIDATE TO VOTE FOR.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-18
S63 Uniform Securities Agent State Law Examination 2008-10-16
  • S66 Uniform Combined State Law Examination
    2011-10-18
  • S63 Uniform Securities Agent State Law Examination
    2008-10-16

View on SEC IAPD

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