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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
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

18575 Jamboree Rd Ste 200, Irvine, CA 92612 • 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
Huntington Beach Marine Safety Division Huntington Beach CA 04/2007 Present
Northwestern Mutual Investment Services, Llc Newport Beach CA 04/2014 Present
Curt Carlson Newport Beach CA 11/2015 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 12/2015 Present
Brian Forth Newport Beach CA 09/2021 Present
  • 04/2007 → Present
    Huntington Beach Marine Safety Division
    Huntington Beach, CA
  • 04/2014 → Present
    Newport Beach, CA
  • 11/2015 → Present
    Curt Carlson
    Newport Beach, CA
  • 12/2015 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 09/2021 → Present
    Brian Forth
    Newport Beach, CA
Other Businesses

HUNTINGTON BEACH MARINE SAFETY DIVISION, NOT INVESTMENT RELATED, 21073 PACIFIC COAST HIGHWAY, HUNTINGTON BEACH, CA 92648, JUNIOR LIFEGUARD INSTRUCTOR II, START DATE MAY 2007, APPROX 5 HOURS/MONTH, ZERO HOURS/MONTH DURING SECURITIES TRADING HOURS. -AS A LIFEGUARD I PROTECT THE PATRONS OF THE BEACH FROM BEACH AND OCEAN HAZARDS. AS WELL AS TREAT INJURIES. 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-01
  • S66 Uniform Combined State Law Examination
    2014-06-01

View on SEC IAPD

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