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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
IA RA APPROVED 2020-04-21
  • IA RA
    APPROVED
    Since 2020-04-21

Branch Locations

1810 Sw Plaza Shops Ln Ste G, Ankeny, IA 50023 • 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
Unemployed West Des Moines IA 02/2017 02/2018
Edward Jones St Louis MO 02/2018 12/2019
Home Depot Fort Collins CO 09/2015 02/2017
Unemployed Ankeny IA 12/2019 04/2020
Jason Thrap W Des Moines IA 04/2020 Present
Northwestern Mutual Investment Services Llc W Des Moines IA 04/2020 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2020 Present
  • 02/2017 → 02/2018
    Unemployed
    West Des Moines, IA
  • 02/2018 → 12/2019
    St Louis, MO
  • 09/2015 → 02/2017
    Home Depot
    Fort Collins, CO
  • 12/2019 → 04/2020
    Unemployed
    Ankeny, IA
  • 04/2020 → Present
    Jason Thrap
    W Des Moines, IA
  • 04/2020 → Present
    W Des Moines, IA
  • 05/2020 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2018-04-17 → 2019-11-29
    Maryland Heights, MO
    West Des Moines, IA
    St Louis, MO
    Ames, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-04-13
  • S66 Uniform Combined State Law Examination
    2018-04-13
Other Names
  • Austin L Fender
  • Austin Fender

View on SEC IAPD

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