Chad Alan Shaw

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → Present
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 08/2008 → Present
  Suny Brockport
  Brockport, NY
• 07/2015 → Present
  Northwestern Mutual Investment Services, Llc.
  Newport Beach, CA
• 01/2016 → Present
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 06/2005 → 02/2024
  Mackenzie Hughes- Pga Tour Golfer
  Honolulu, HI

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. COACHING other NM Reps, 1500 Quail St Ste 600, Newport Beach, CA - 92660. BUSINESS RELATED COACHING: activity, prospecting philosophy. START DATE: 09/01/2016, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, 1/2 HOUR COACHING PHONE CALLS. Not investment related. 3. 33% OWNER, O.C. INSURANCE SERVICES, LLC, STARTED 11/12/18, LEGAL ENTITY FORMED FOR ADMINISTRATIVE/EXPENSE PURPOSES, 0-5 HRS PER MONTH, INVESTMENT RELATED. 4. 100% OWNER, SHAW MANAGEMENT SERVICES, INC., LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 03/29/2023, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams

• S63 Uniform Securities Agent State Law Examination
  2011-06-01

Designations

• Certified Financial Planner