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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
NJ RA APPROVED 2012-10-09
  • NJ RA
    APPROVED
    Since 2012-10-09

Branch Locations

300 Madison Ave Fl 25, New York, NY 10017 • 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 Milwaulkee WI 06/2009 Present
Northwestern Mutual Investment Services, Llc New York NY 01/2010 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 06/2009 → Present
    Northwestern Mutual Life Insurance Company
    Milwaulkee, WI
  • 01/2010 → Present
    New York, NY
  • 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. 2. OTHER NON-FINANCIAL SERVICE BUSINESS, 500 DRIGGS AVE, APT 504, BROOKLYN, , NEW YORK, 11211, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 01/19/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PARTICIPATE IN PAID MARKET RESEARCH SURVEYS ON TELEPHONE ON A VARIETY OF CONSUMER PRODUCTS AND SERVICES 3. 33.33% OWNER, BANYAN TREE HOLDINGS LLC, LEGAL ENTITY, START DATE: 01/09/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-03-10
  • S63 Uniform Securities Agent State Law Examination
    2010-03-10
Designations
  • Certified Financial Planner

View on SEC IAPD

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