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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 APPROVED 2026-05-05
  • CA RA
    APPROVED
    Since 2026-05-05

Branch Locations

555 Mission St Fl 16, San Francisco, CA 94105 • 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
Northwestern Mutual Investment Services, Llc San Francisco CA 08/1994 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 05/1994 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 08/1994 → Present
    San Francisco, CA
  • 05/1994 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

LM RECORDS. PRODUCED FOUR RECORDINGS FOR FRIENDS AND TWO FOR CHURCHES. THE LAST FOR A CHURCH HAS BEEN PICKED UP BY UNIVERSAL STUDIOS AND WILL BE SOLD WORLDWIDE BY THEM . RECEIVED ROYALTIES OFF THE SALES, SPENT ONE HOUR TO APPROVE DEAL AND EXPECT NO FURTHER TIME DEMANDS IN THE FUTURE. BUSINESS IS LOCATED IN HOME. 1096 CLARENDON CR. OAKLAND, CA 94610. NOT INVESTMENT RELATED. 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. RESIDENTIAL PROPERTY, 2712 EAST GOWAN RD, NORTH LAS VEGAS, , NEVADA, 89030, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 3/5/2003, INVESTMENT IN REAL ESTATE

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-06-29
  • S63 Uniform Securities Agent State Law Examination
    1992-06-29
Designations
  • Chartered Financial Consultant
Other Names
  • Mike Clark

View on SEC IAPD

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