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Kevin Hofmann

Northwestern Mutual Investment Services, LLC

Melville, NY

CRD 5359110

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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
NY RA APPROVED 2023-11-09
  • NY RA
    APPROVED
    Since 2023-11-09

Branch Locations

400 Broadhollow Rd Ste 200, Melville, NY 11747 • 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
Royce & Associates New York NY 04/2016 12/2019
Lenox Wealth Advisors New York NY 12/2019 08/2021
Citigroup New York NY 08/2021 10/2023
Robert Kilroy Melville NY 10/2023 Present
Northwestern Mutual Investment Services, Llc Melville NY 11/2023 Present
Royce Fund Services, Llc New York NY 04/2017 12/2019
Royce Fund Services, Inc New York NY 04/2016 03/2017
  • 04/2016 → 12/2019
    Royce & Associates
    New York, NY
  • 12/2019 → 08/2021
    Lenox Wealth Advisors
    New York, NY
  • 08/2021 → 10/2023
    Citigroup
    New York, NY
  • 10/2023 → Present
    Robert Kilroy
    Melville, NY
  • 11/2023 → Present
    Northwestern Mutual Investment Services, Llc
    Melville, NY
  • 04/2017 → 12/2019
    Royce Fund Services, Llc
    New York, NY
  • 04/2016 → 03/2017
    Royce Fund Services, Inc
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-27
S63 Uniform Securities Agent State Law Examination 2010-11-08
  • S66 Uniform Combined State Law Examination
    2021-11-27
  • S63 Uniform Securities Agent State Law Examination
    2010-11-08
Other Names
  • Kevin George Hofmann

View on SEC IAPD

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