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Simon Joel Smith

Northwestern Mutual Investment Services, LLC

Norwalk, CT

CRD 7903539

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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
CT RA APPROVED 2025-06-25
  • CT RA
    APPROVED
    Since 2025-06-25

Branch Locations

50 Washington St Ste 600W, Norwalk, CT 06854 • 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
Newtown Savings Bank Shelton CT 05/2023 08/2023
Deeter Landscaping Holland PA 12/2021 02/2022
Kuchma Corporation Bridgeport CT 05/2022 08/2022
Razayya Financial New Haven CT 09/2023 01/2024
Student Oxford CT 04/2014 05/2021
Student New Haven CT 08/2022 Present
Unemployed Oxford CT 06/2021 11/2021
Northwestern Mutual Life Insurance Company Milwaukee WI 05/2024 Present
Northwestern Mutual Investment Services Llc Norwalk CT 01/2025 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2025 Present
  • 05/2023 → 08/2023
    Newtown Savings Bank
    Shelton, CT
  • 12/2021 → 02/2022
    Deeter Landscaping
    Holland, PA
  • 05/2022 → 08/2022
    Kuchma Corporation
    Bridgeport, CT
  • 09/2023 → 01/2024
    Razayya Financial
    New Haven, CT
  • 04/2014 → 05/2021
    Student
    Oxford, CT
  • 08/2022 → Present
    Student
    New Haven, CT
  • 06/2021 → 11/2021
    Unemployed
    Oxford, CT
  • 05/2024 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2025 → Present
    Northwestern Mutual Investment Services Llc
    Norwalk, CT
  • 08/2025 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-23
  • S66 Uniform Combined State Law Examination
    2025-06-23
Other Names
  • Simon Smith

View on SEC IAPD

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