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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 2016-06-16
  • NJ RA
    APPROVED
    Since 2016-06-16

Branch Locations

400 Broadhollow Rd Ste 200, Melville, NY 11747 • 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
Henry Cerruti Melville NY 06/2016 Present
Northwestern Mutual Investment Services Llc Melville NY 06/2016 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 10/2016 Present
Nicholas A Llerena Melville NY 04/2018 Present
  • 06/2016 → Present
    Henry Cerruti
    Melville, NY
  • 06/2016 → Present
    Melville, NY
  • 10/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 04/2018 → Present
    Nicholas A Llerena
    Melville, NY
Previous Registrations
Other Businesses

1. TREASURER & VICE PRESIDENT, BLUE POINT BAYPORT LIONS CLUB, 203 BLUE POINT AVE., BLUE POINT, NEW YORK, 11715, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 7/1/2016, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER AND VICE PRESIDENT; NON INVESTMENT-RELATED. 2. PRESIDENT, LETIP BUSINESS NETWORKING GROUP, FIDUCIARY CAPACITY, START DATE: 8/7/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, WILL BE PRESIDENT OR VICE PRESIDENT OF A LETIP - BUSINESS NETWORKING GROUP; NON INVESTMENT-RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-10-26
S63 Uniform Securities Agent State Law Examination 2010-06-25
  • S65 Uniform Investment Adviser Law Examination
    2011-10-26
  • S63 Uniform Securities Agent State Law Examination
    2010-06-25
Other Names
  • Timothy W Honce
  • Timothy W Honce
  • Tim Honce
  • Tim Honce

View on SEC IAPD

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