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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
NC RA APPROVED 2025-08-18
  • NC RA
    APPROVED
    Since 2025-08-18

Branch Locations

6235 Carnegie Blvd, Charlotte, NC 28211 • 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
Fidelity Investments Smithfield RI 08/2022 12/2024
Keybank Hamilton OH 05/2021 08/2021
The Home Depot Norwood MA 05/2020 01/2021
Tavolino Foxborough MA 10/2017 08/2019
Dairy Queen Foxborough MA 06/2017 08/2017
Staples Norwood MA 10/2016 02/2017
Xavier University Cincinnati OH 08/2018 05/2022
Walpole High School Walpole MA 08/2014 06/2018
Unemployed Walpole MA 12/2024 07/2025
Thomas Tartt Brown Charlotte NC 07/2025 Present
Robert Turner Dayton Charlotte NC 07/2025 Present
John B Garwood Charlotte NC 07/2025 Present
John R Mclaughlin Charlotte NC 07/2025 Present
Jason Newsome Charlotte NC 07/2025 Present
Northwestern Mutual Investment Services Llc Charlotte NC 08/2025 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2026 Present
  • 08/2022 → 12/2024
    Fidelity Investments
    Smithfield, RI
  • 05/2021 → 08/2021
    Keybank
    Hamilton, OH
  • 05/2020 → 01/2021
    The Home Depot
    Norwood, MA
  • 10/2017 → 08/2019
    Tavolino
    Foxborough, MA
  • 06/2017 → 08/2017
    Dairy Queen
    Foxborough, MA
  • 10/2016 → 02/2017
    Staples
    Norwood, MA
  • 08/2018 → 05/2022
    Xavier University
    Cincinnati, OH
  • 08/2014 → 06/2018
    Walpole High School
    Walpole, MA
  • 12/2024 → 07/2025
    Unemployed
    Walpole, MA
  • 07/2025 → Present
    Thomas Tartt Brown
    Charlotte, NC
  • 07/2025 → Present
    Robert Turner Dayton
    Charlotte, NC
  • 07/2025 → Present
    John B Garwood
    Charlotte, NC
  • 07/2025 → Present
    John R Mclaughlin
    Charlotte, NC
  • 07/2025 → Present
    Jason Newsome
    Charlotte, NC
  • 08/2025 → Present
    Charlotte, NC
  • 08/2026 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2023-01-12 → 2024-12-03
    Fidelity Personal And Workplace Advisors
    Smithfield, RI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-06
  • S66 Uniform Combined State Law Examination
    2023-01-06
Other Names
  • Brian Edmund Stanton
  • Brian Stanton

View on SEC IAPD

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