Richard James Pertzborn

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
IA	RA	APPROVED	2008-07-28

IA RA
APPROVED

Since 2008-07-28

Branch Locations

W Des Moines, IA • United States

1245 Jordan Creek Pkwy Suite 200, W Des Moines, IA 50266 • 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

Organization	City	State	From	To
Northwestern Mutual Life Ins Co.	Milwaukee	WI	09/1976	Present
Northwestern Mutual Investment Services, Llc	Des Moines	IA	05/1983	Present
Northwestern Mutual Wealth Management Company	Milwaukee	WI	01/2016	Present

09/1976 → Present

Northwestern Mutual Life Ins Co.

Milwaukee, WI
05/1983 → Present

Northwestern Mutual Investment Services, Llc

Des Moines, IA
01/2016 → Present

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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-29
S63	Uniform Securities Agent State Law Examination	1987-03-30

S65 Uniform Investment Adviser Law Examination

1999-12-29
S63 Uniform Securities Agent State Law Examination

1987-03-30

Designations

Chartered Financial Consultant

Other Names

Rick Pertzborn
Richard James (Jr) Pertzborn

View on SEC IAPD