NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC Legal Name
Adviser information for NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 2537 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 2399 |
| Registered State Investment Advisers | 2341 |
| Licensed Agents of an Insurance Company | 2181 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 1 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS |
|---|---|
| Compensation | Fixed feesREFERRAL FEES |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Principal Office
720 EAST WISCONSIN AVENUEMILWAUKEE
WI
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 866-950-4644, Fax: None
Chief Compliance Officer
REBECCA VILLEGAS
VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
720 EAST WISCONSIN AVENUE
MILWAUKEE
WI
United States
Tel:
414-665-8536
Fax:
414-625-8536
R**************@*********************M
(Full email address available in API data)
Regulatory Contact
RUSSELL RUTKOWSKI
ASSISTANT DIRECTOR HOME OFFICE SUPERVISION AND ADMINISTRATION
720 EAST WISCONSIN AVENUE
MILWAUKEE
WI
United States
Tel:
4146656642
R***************@*********************M
(Full email address available in API data)
Industry Affiliates
| IRON KEY INSURANCE SERVICES, LLC | Insurance company or agency |
| MASON STREET ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NMC V GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NMC VI GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NMPE I GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NMPE II GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NMPE III GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NMPE IV GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHWESTERN LONG TERM CARE INSURANCE COMPANY | Insurance company or agency |
| NORTHWESTERN MUTUAL | Insurance company or agency |
| NORTHWESTERN MUTUAL CAPITAL EQUITY GP VII, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHWESTERN MUTUAL CAPITAL GP II, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHWESTERN MUTUAL CAPITAL GP III, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHWESTERN MUTUAL CAPITAL GP IV, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHWESTERN MUTUAL CAPITAL GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY | Banking or thrift institutionTrust company |
| WYSH LIFE AND HEALTH INSURANCE COMPANY | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHNEIDER, SARAH RENEE | Individual | – | PRESIDENT AND CEO | 04/2021 | < 5% |
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | Domestic Entity | – | SOLE MEMBER | 04/1968 | > 75% |
| EULL, BRADLEY LEAHY | Individual | – | SECRETARY | 12/2018 | < 5% |
| VILLEGAS, REBECCA LYNN | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 05/2019 | < 5% |
| DOLL, QUENTIN MICHAEL | Individual | – | VICE PRESIDENT - RISK PRODUCTS | 08/2021 | < 5% |
| WARD, JARED A | Individual | – | TREASURER/FINOP | 01/2022 | < 5% |
| BENTLEY, JOHN EMERSON | Individual | – | VICE PRESIDENT - WEALTH | 12/2022 | < 5% |
| SCHULTZ, DEBORAH ALLISON | Individual | – | VICE PRESIDENT AND CHIEF RISK OFFICER | 02/2023 | < 5% |
| KALINOWSKI, DAWN MARIE | Individual | – | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 12/2023 | < 5% |