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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
CO RA APP_PEND_IARCE 2026-01-01
  • CO RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

7800 E Orchard Rd Ste 200, Greenwood Vlg, CO 80111 • 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 No
  • Bankruptcy Yes
  • 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 11/2008 Present
Northwestern Mutual Investment Services, Llc Greenwood Village CO 11/2008 Present
Northwestern Mutual Investment Services, Llc Greenwood Village CO 02/2014 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 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. OWNER, UW SQUARED INSURANCE SERVICES, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 11/12/2018, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. 100% OWNER, HOLDEN ENDEAVORS, LLC , LEGAL ENTITY, START DATE: 09/13/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 4. MEMBER - FINANCE COMMITTE, SOUTH HOLLY CHURCH, 7101 S HOLLY ST., CENTENNIAL, , COLORADO, 80122, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 1/1/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON-INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-02-10
S63 Uniform Securities Agent State Law Examination 2008-11-17
  • S65 Uniform Investment Adviser Law Examination
    2014-02-10
  • S63 Uniform Securities Agent State Law Examination
    2008-11-17

View on SEC IAPD

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