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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
MN RA APPROVED 2014-02-06
  • MN RA
    APPROVED
    Since 2014-02-06

Branch Locations

3600 Minnesota Dr Suite 600, Edina, MN 55435 • 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 Milwaukee WI 10/2001 Present
Northwestern Mutual Life Insurance Co. Milwaukee WI 09/2001 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 10/2001 → Present
    Milwaukee, WI
  • 09/2001 → Present
    Northwestern Mutual Life Insurance Co.
    Milwaukee, WI
  • 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. 2. OWNER, QUACK QUACK WORLDWIDE (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 06/12/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-02-12
  • S63 Uniform Securities Agent State Law Examination
    2002-02-12

View on SEC IAPD

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