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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
IN RA APPROVED 2007-06-21
  • IN RA
    APPROVED
    Since 2007-06-21

Branch Locations

6885 W Stonegate Drive Suite 150, Zionsville, IN 46077 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 12/1999 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 01/2000 Present
Northwestern Mutual Investment Services, Llc Zionsville IN 02/2006 Present
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. 45% OWNER, 6-4-3 LLC, STONEGATE LOT 104, ZIONSVILLE, , INDIANA, 46077, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 4/5/2016, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MONITOR REAL ESTATE OPERATIONS WITHIN THE LLC 3. 100% OWNER, TJC ARK, INC., LEGAL ENTITY, START DATE: 11/10/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER, S-CORPORATION 4. 56% OWNER, MTC SERVICES, LLC RECEIVING WMC AND RISK COMPENSATION, LEGAL ENTITY - RECEIVING WMC AND RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/1/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, WEALTH MANAGEMENT ADVISOR, CLIENT MEETINGS, FINANCIAL PLANNING 5. 100% OWNER, TJC ARK, INC., LEGAL ENTITY, START DATE: 1/1/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, WMA FOR CREDENCE PLANNING GROUP 6. 50% OWNER, M&B FAMILY FARM, N COUNTY RD 600E/ E CTY RD 1100 N, FARMERSBURG, , INDIANA, 47850, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 7/28/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-19
S63 Uniform Securities Agent State Law Examination 2000-02-28
  • S66 Uniform Combined State Law Examination
    2006-09-19
  • S63 Uniform Securities Agent State Law Examination
    2000-02-28
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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