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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
LA RA APPROVED 2015-03-11
  • LA RA
    APPROVED
    Since 2015-03-11

Branch Locations

127 W Broad St Suite 600 One Lake Side Plaza, Lake Charles, LA 70601-4260 • 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 Milwaukee WI 02/2014 Present
Northwestern Mutual Investment Services, Llc Lake Charles LA 02/2014 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 02/2014 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 02/2014 → Present
    Lake Charles, LA
  • 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. CLB HOLDINGS, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 5/20/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 3. 100% OWNER, BLESSED VALLEYS HOLDINGS, LLC, LEGAL ENTITY, START DATE: 11/28/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, NON-INVESTMENT RELATED. 4. BOARD REP, GRAVITY DRAINAGE DISTRICT, CALCASIEU PARISH, 1015 PITHON ST, LAKE CHARLES, , LOUISIANA, 70611, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 12/20/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOARD REP... MONTHLY MEETING TO ADVISE AND DISCUSS THE APPROVAL OF VARIOUS DRAINAGE PROJECTS AROUND THE LOCAL AREA. 6 BOARD MEMBERS ON THE COMMITTEE; NOT INVESTMENT-RELATED. 5. PRESIDENT/BOARD REP, BIG SAM BASKETBALL BOOSTERS, 880 SAM HOUSTON JONES PKWY, LAKE CHARLES, , LOUISIANA, 70611, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 06/18/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT- OVERSEE GENERAL MEETINGS OF THE BOARD, COMMUNITY COMMUNICATION ON EVENTS. non investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-10
S63 Uniform Securities Agent State Law Examination 2014-05-02
  • S65 Uniform Investment Adviser Law Examination
    2015-03-10
  • S63 Uniform Securities Agent State Law Examination
    2014-05-02
Other Names
  • William Todd Willis

View on SEC IAPD

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