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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
WI RA APPROVED 2022-01-21
  • WI RA
    APPROVED
    Since 2022-01-21

Branch Locations

720 E Wisconsin Ave, Milwaukee, WI 53202 • United States

Jackson, WI • 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 Life Milwaukee WI 01/2014 07/2017
Axa Advisors, Llc New York NY 03/2017 05/2019
Guardian Life Insurance Company Portland OR 05/2019 12/2021
Park Avenue Securities Portland OR 06/2019 10/2021
Northwestern Mutual Insurance Milwaukee WI 12/2021 Present
Northwestern Mutual Investment Services Llc Milwaukee WI 01/2022 Present
Kohl's West Bend WI 11/2024 Present
  • 01/2014 → 07/2017
    Northwestern Mutual Life
    Milwaukee, WI
  • 03/2017 → 05/2019
    Axa Advisors, Llc
    New York, NY
  • 05/2019 → 12/2021
    Guardian Life Insurance Company
    Portland, OR
  • 06/2019 → 10/2021
    Park Avenue Securities
    Portland, OR
  • 12/2021 → Present
    Northwestern Mutual Insurance
    Milwaukee, WI
  • 01/2022 → Present
    Milwaukee, WI
  • 11/2024 → Present
    Kohl's
    West Bend, WI
Previous Registrations
Other Businesses

1. STOCKROOM ASSOCIATE, KOHL'S, 1400 S. MAIN ST, WEST BEND, , WISCONSIN, 53053, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 11/01/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, STOCKROOM. NON INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-03
  • S66 Uniform Combined State Law Examination
    2017-08-03
Other Names
  • Michelle Renee Case
  • Michelle R. Garvens
  • Michelle Renee Garvens
  • Michelle Michael Garvens

View on SEC IAPD

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