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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
NJ RA APPROVED 2006-04-25
  • NJ RA
    APPROVED
    Since 2006-04-25

Branch Locations

500 Campus Dr Ste 300, Florham Park, NJ 07932 • 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 12/1998 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 05/1999 Present
Northwestern Mutual Investment Services, Llc Summit NJ 04/2006 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 10/2013 Present
Other Businesses

CALLALLO INC. T/A CALALOO CAFE V.P.; PAZZO PAZZO INC. T/A PAZZO PAZZO PRESIDENT. 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
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-14
S63 Uniform Securities Agent State Law Examination 2000-10-20
  • S66 Uniform Combined State Law Examination
    2006-04-14
  • S63 Uniform Securities Agent State Law Examination
    2000-10-20
Other Names
  • Robert E Lembeck

View on SEC IAPD

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