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Andrew J Stumbo

Northwestern Mutual Investment Services, LLC

Ankeny, IA

CRD 6200584

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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
IA RA APPROVED 2017-03-09
  • IA RA
    APPROVED
    Since 2017-03-09

Branch Locations

1810 Sw Plaza Shops Ln Ste G, Ankeny, IA 50023 • 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
Douglas Benson W Des Moines IA 03/2017 Present
Rbc Wealth Management Clive IA 05/2013 03/2017
Northwestern Mutual Investment Services Llc W Des Moines IA 03/2017 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 03/2017 Present
  • 03/2017 → Present
    Douglas Benson
    W Des Moines, IA
  • 05/2013 → 03/2017
    Rbc Wealth Management
    Clive, IA
  • 03/2017 → Present
    Northwestern Mutual Investment Services Llc
    W Des Moines, IA
  • 03/2017 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-16
  • S66 Uniform Combined State Law Examination
    2013-09-16
Other Names
  • Andrew Jonathan Stumbo
  • Andrew J Stumbo

View on SEC IAPD

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