Full text of NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC's X-17A-5 filed 2021-02-22 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Northwestern Mutual Investment Services, LLC** **Financial Statements and Supplementary Schedules Pursuant to Rule 17a-5 of the Securities Exchange Act December 31, 2020** **CONFIDENTIAL** {1}------------------------------------------------ **Page/Schedule** #### **Oath or Affirmation** #### **Report of Independent Registered Public Accounting Firm** #### **Financial Statements** | Statement of Financial Condition 1<br><br>1 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | Statement of Operations 2<br> | | Statement of Changes in Member's Equity 3<br> | | Statement of Cash Flows 4<br> | | Notes to the Financial Statements 5-18<br> | | Supplemental Information | | Computation of Net Capital | | Under Rule 15c3-1 19<br> | | Computation for Determination of Reserve Requirements and Information Relating to<br>n<br>Reserve<br>R<br>Possession or Control Requirements Under Rule 15c3-3 20<br>uirements<br>Unde | | | {2}------------------------------------------------ **UNJTEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-14088 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/20 | | ----------<br>AND ENDING 12/31/20 | | | | |--------------------------------------------------------------------------|---------|-------------------------------------------------|--|--|--| | ----------<br>-<br>MM/DD /Y Y | | -<br>MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALER: Northwestern Mutual Investment Services, LLC | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | 720 E. Wisconsin Ave | | | | | | | (No and Street) | | | | | | | WI<br>Milwaukee | | 53202 | | | | | (City)<br>(State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | Kelly Martin, FINOP | | (414)665-4456<br>(Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACC…Read the full text as markdown