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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
KY RA APPROVED 2022-07-19
  • KY RA
    APPROVED
    Since 2022-07-19

Branch Locations

140 Whittington Pkwy, Louisville, KY 40222 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Subway Hanover IN 07/2015 04/2017
Unemployed Louisville KY 05/2017 10/2017
Student Hanover IN 09/2013 05/2017
Prudential Louisville KY 10/2017 10/2021
Robert King Louisville KY 10/2021 02/2022
Robert King Louisville KY 02/2022 Present
Northwestern Mutual Investment Services Llc Louisville KY 05/2022 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2022 Present
  • 07/2015 → 04/2017
    Subway
    Hanover, IN
  • 05/2017 → 10/2017
    Unemployed
    Louisville, KY
  • 09/2013 → 05/2017
    Student
    Hanover, IN
  • 10/2017 → 10/2021
    Prudential
    Louisville, KY
  • 10/2021 → 02/2022
    Robert King
    Louisville, KY
  • 02/2022 → Present
    Robert King
    Louisville, KY
  • 05/2022 → Present
    Louisville, KY
  • 09/2022 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. 100% OWNER, CLAYIGRAPHY PENS, 608 TUCKER AVE, CLARKSVILLE, , INDIANA, 47129, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 08/16/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, CREATE THE PENS TO SELL, POST ON SOCIAL MEDIA, BOOK CRAFT FAIRS, SELL AT CRAFT FAIRS, FULFILL ANY ONLINE ORDER REQUESTS 2. 100% OWNER, WYRM WEAVE CREATIONS, 608 TUCKER AVE, CLARKSVILLE, , INDIANA, 47129, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 8/16/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, CREATE THE CRAFTS TO SELL, POST ON SOCIAL MEDIA, BOOK CRAFT FAIRS, SELL AT CRAFT FAIRS, FULFILL ANY ONLINE ORDER REQUESTS. non investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-08-12
S63 Uniform Securities Agent State Law Examination 2017-10-18
  • S65 Uniform Investment Adviser Law Examination
    2021-08-12
  • S63 Uniform Securities Agent State Law Examination
    2017-10-18
Other Names
  • Micayla Lynn Jones
  • Micayla Lynn Jones

View on SEC IAPD

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