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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
TN RA APPROVED 2025-01-01
  • TN RA
    APPROVED
    Since 2025-01-01

Branch Locations

1600 Division St Ste 400, Nashville, TN 37203 • 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
Andersen Consulting Nashville TN 08/1993 Present
Northwestern Mutual Life Ins Co Milwaukee WI 04/1999 Present
Northwestern Mutual Investment Services, Llc Nashville TN 04/1999 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 08/1993 → Present
    Andersen Consulting
    Nashville, TN
  • 04/1999 → Present
    Northwestern Mutual Life Ins Co
    Milwaukee, WI
  • 04/1999 → Present
    Nashville, TN
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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) COMMUNITY ACTIVITY FIDUCIARY CAPACITY, CITY HALL 109 3RD AVENUE SOUTH, FRANKLIN, , TENNESSEE, 37064, UNITED STATES OF AMERICA, HOLDING/RUNNING FOR OFFICE, START DATE: 04/14/2017, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, CONSIDERING RUNNING FOR 3RD WARD ALDERMAN.THE FRANKLIN BOARD OF MAYOR AND ALDERMEN (BOMA) IS MADE UP OF NINE PEOPLE ELECTED TO MAKE POLICY DECISIONS FOR FRANKLIN CITY GOVERNMENT 3) 18% OWNER, DIVISION HOLDINGS, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 08/16/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-05
S63 Uniform Securities Agent State Law Examination 1999-05-11
  • S66 Uniform Combined State Law Examination
    2005-08-05
  • S63 Uniform Securities Agent State Law Examination
    1999-05-11

View on SEC IAPD

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