Full text of NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC's X-17A-5 filed 2022-02-23 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Northwestern Mutual Investment Services, LLC Statement of Financial Condition December 31, 2021 AVAILABLE FOR PUBLIC {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III | OMB Number: 3235-0123 | | | | |----------------------------------------------------|--|--|--| | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | | | | | SEC FILE NUMBER | | | | | 8-14088 | | | | 12/31/2021 OMB APPROVAL F E FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING | MM/DD/YY | MM/DD/YY | |------------------------------|----------| | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Northwestern Mutual Investment Services, LLC TYPE OF REGISTRANT (check all applicable boxes): & Broker-dealer - D Security-based swap dealer - D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 720 E. Wisconsin Ave. | | (No. and Street) | | |-----------|------------------|------------| | Milwaukee | WI | 53202 | | (City) | (State) | (Zip Code) | PERSON TO CONTACT WITH REGARD TO THIS FILING | Jared Ward, FINOP | (414) 665 - 5520 | jaredward@northwesternmutual.com | | |-------------------|--------------------------------|----------------------------------|--| | (Name) | (Area Code - Telephone Number) | (Email Address) | | #### B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* PricewaterhouseCoopers, LLP | (Name - if individual, state last, first, and middle name) | | | | | |----------------------------------------------------------------------------------------------|-----------------------|---------|--------------------------------------------|--| | One North Wacker | Chicago | IL | 60606 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/20/03 | | 238 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii)…Read the full text as markdown