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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
IL RA APPROVED 2013-06-04
  • IL RA
    APPROVED
    Since 2013-06-04

Branch Locations

445 Salem Pl, Fairview Hts, IL 62208 • 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 Life Insurance Company Milwaukee WI 05/2009 Present
Northwestern Mutual Investment Services, Llc Belleville IL 06/2009 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 05/2009 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 06/2009 → Present
    Belleville, IL
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-09-14
  • S63 Uniform Securities Agent State Law Examination
    2009-09-14
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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