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Sam Smith Mines

Northwestern Mutual Investment Services, LLC

Raleigh, NC

CRD 7667413

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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 2023-11-17
  • NC RA
    APPROVED
    Since 2023-11-17

Branch Locations

1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • 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
Samuel Brewer Raleigh NC 11/2022 Present
John Mitchell Raleigh NC 11/2022 Present
Kyle Parker Raleigh NC 11/2022 Present
Northwestern Mutual Investment Services, Llc Raleigh NC 02/2023 Present
Finance Of America Mortgage Charlotte NC 08/2021 07/2022
Appraisal Nation Cary NC 11/2018 08/2021
Boating Times Long Island Kings Park NY 01/2012 10/2018
Unemployed Raleigh NC 07/2022 11/2022
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2024 Present
  • 11/2022 → Present
    Samuel Brewer
    Raleigh, NC
  • 11/2022 → Present
    John Mitchell
    Raleigh, NC
  • 11/2022 → Present
    Kyle Parker
    Raleigh, NC
  • 02/2023 → Present
    Northwestern Mutual Investment Services, Llc
    Raleigh, NC
  • 08/2021 → 07/2022
    Finance Of America Mortgage
    Charlotte, NC
  • 11/2018 → 08/2021
    Appraisal Nation
    Cary, NC
  • 01/2012 → 10/2018
    Boating Times Long Island
    Kings Park, NY
  • 07/2022 → 11/2022
    Unemployed
    Raleigh, NC
  • 08/2024 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-15
  • S66 Uniform Combined State Law Examination
    2023-11-15

View on SEC IAPD

Nearby Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP

Nearby Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH

Nearby Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

More in Raleigh, NC

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