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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
WI RA APPROVED 2025-01-01
  • WI RA
    APPROVED
    Since 2025-01-01

Branch Locations

720 E Wisconsin Ave, Milwaukee, WI 53202 • 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
Axa Equitable Milwaukee WI 10/2015 08/2017
Axa Advisors Llc New York NY 10/2015 08/2017
Aquent Llc Milwaukee WI 08/2017 05/2019
Northwestern Mutual Investment Services, Llc Milwaukee WI 08/2019 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 05/2019 Present
  • 10/2015 → 08/2017
    Axa Equitable
    Milwaukee, WI
  • 10/2015 → 08/2017
    Axa Advisors Llc
    New York, NY
  • 08/2017 → 05/2019
    Aquent Llc
    Milwaukee, WI
  • 08/2019 → Present
    Milwaukee, WI
  • 05/2019 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-14
S63 Uniform Securities Agent State Law Examination 2015-03-25
  • S65 Uniform Investment Adviser Law Examination
    2015-07-14
  • S63 Uniform Securities Agent State Law Examination
    2015-03-25

View on SEC IAPD

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