Ryan Bowen Smith

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

Authority	Category	Status	Date
CA	RA	APPROVED	2007-09-21

CA RA
APPROVED

Since 2007-09-21

Branch Locations

3438 Peachtree Rd Ne Phipps Tower Ste 1200, Atlanta, GA 30326 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Phoenix Financial Corp.	Atlanta	GA	05/1981	Present
The Northwestern Mutual Insurance Co.	Milwaukee	WI	03/1988	Present
Northwestern Mutual Investment Services, Llc	Milwaukee	WI	04/1988	Present
Northwestern Mutual Wealth Management Company	Milwaukee	WI	05/2007	Present

05/1981 → Present

Phoenix Financial Corp.

Atlanta, GA
03/1988 → Present

The Northwestern Mutual Insurance Co.

Milwaukee, WI
04/1988 → Present

Northwestern Mutual Investment Services, Llc

Milwaukee, WI
05/2007 → Present

Northwestern Mutual Wealth Management Company

Milwaukee, WI

Previous Registrations

2004-03-08 → 2007-04-30

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. 100% OWNER, DOUBLE PLATINUM PLUS FOUR, LLC, LEGAL ENTITY FORMED FOR ADMINISTRATIVE/EXPENSE PURPOSES, STARTED 11/2/18, 0-5 HRS PER MONTH, INVESTMENT RELATED.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-01-31
S63	Uniform Securities Agent State Law Examination	1983-01-28

S66 Uniform Combined State Law Examination

2006-01-31
S63 Uniform Securities Agent State Law Examination

1983-01-28

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