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Northwestern Mutual Investment Services, LLC CRD 2881
1 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2015-03-11 |
Branch Locations
127 W Broad St Suite 600 One Lake Side Plaza, Lake Charles, LA 70601-4260 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2014-05-02 |
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