NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC of MILWAUKEE, WI is an SEC-registered investment adviser (CRD 2881). This firm reports disciplinary history on Form ADV.
Compensation: Fixed, Other.
Clients served: Other.
Showing 25 of 83 people.
| Name | Role | Location |
|---|---|---|
| Moran Michael | VICE PRESIDENT, FIELD INSPECTION | Lempster, NH |
| Bradley Leahy Eull | SECRETARY | — |
| Quentin Michael Doll | VICE PRESIDENT - RISK PRODUCTS | — |
| Deborah Allison Schultz | VICE PRESIDENT AND CHIEF RISK OFFICER | — |
| Dawn Marie Kalinowski | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | — |
| Laila M Valters | PRESIDENT AND CEO | — |
| Nicole Ellen Lund | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Bonnie Lynn Tomczak | VICE PRESIDENT - WEALTH | — |
| Brett Bernard Albers | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | — |
| Martin Worthington Lynn | TREASURER/FINOP | — |
| ZORE EDWARD JOHN | DIRECTOR | — |
| BREMER JOHN MICHAEL | DIRECTOR | — |
| TIPPETTS JAMES EDWARD | VICE PRESIDENT SALES SUPPORT | — |
| SCHLIFSKE JOHN EDWARD | DIRECTOR; DIRECTOR AND PRESIDENT/CEO | — |
| HUMPHREY CATHY ANN | ASSISTANT DIRECTOR, EQUITY COMPLIANCE, NMIS OFFICE OF SUPERVISORY JURISDICTION | — |
| TURNER DAVID JOHN | VICE PRESIDENT, FIELD TRAINING AND DEVEOPMENT | — |
| LUND CONSTANCE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| BECKLEY WILLIAM HOWE | DIRECTOR; DIRECTOR AND EXECUTIVE VICE PRESIDENT SALES | — |
| CHRISTOPHERSEN ERIC PAUL | SENIOR VICE PRESIDENT; VICE PRESIDENT; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER (+2 more) | — |
| CHOSSEK WALTER JOHN | TREASURER | — |
| ROBINSON CHARLES DAVID | DIRECTOR; SENIOR VICE PRESIDENT, INVESTMENT PRODUCTS AND SERVICES; SENIOR VICE PRESIDENT, INVESTMENT SALES | — |
| RIEDL DANIEL ARTHUR | DIRECTOR; DIRECTOR AND PRESIDENT AND CHIEF EXECUTIVE OFFICER; SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER (+1 more) | — |
| FIASCA CHRISTINA H | DIRECTOR; DIRECTOR AND PRESIDENT/CEO | — |
| MAIER JEAN MARIE | DIRECTOR AND SENIOR VICE PRESIDENT, COMPLIANCE/BEST PRACTICES; DIRECTOR AND SENIOR VICE PRESIDENT, INSURANCE OPERATIONS; SENIOR VICE PRESIDENT, COMPLIANCE/BEST PRACTICES | — |
| JOHNSON ROBERT JAMES | DIRECTOR, COMPLIANCE OVERSIGHT AND NMIS INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER; DIRECTOR, FIELD COMPLIANCE & REVIEW/AND NMIS INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-10-02 | regulatory | THE PENNSYLVANIA INSURANCE DEPARTMENT IDENTIFIED VIOLATIONS IN THE FOLLOWING AREAS: COMPREHENSIVE FILE DOCUMENTATION, REVIEW AND REVISION OF INTERNAL CONTROL PROCEDURES TO ENSURE COMPLIANCE WITH STATUTORY COMPLAINT AND FILE HANDLING, FREE LOOK STATEMENT, ILLUSTRATION CERTIFICATION AND DELIVERY, DISC… | Final | $250K |
| 2022-12-08 | regulatory | THE COMPANY USED A FORM THAT WAS NOT APPROVED BY THE NEW HAMPSHIRE INSURANCE DEPARTMENT. THE COMPANY DECLINED SOME INSURANCE APPLICANTS BUT COULD NOT PRODUCE A DECLINATION LETTER. | Final | $220K |
| 2022-11-21 | regulatory | EMPLOYEES OF NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NMIS), NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC (NMIMC) AND MASON STREET ADVISORS, LLC (MSA) SENT AND RECEIVED OFF-CHANNEL ELECTRONIC COMMUNICATIONS RELATED TO THE BUSINESS OF THE ENTITIES. THESE OFF-CHANNEL ELECTRONIC COMMUNIC… | Final | $16.5M |
| 2021-07-29 | regulatory | AGENT CREATED MASS SOLICITATION E-MAILS WERE NOT SUBMITTED FOR SUPERVISORY APPROVAL. E-MAILS WERE ALSO SENT INTO STATES WHERE AGENTS WERE NOT LICENSED TO DO BUSINESS. | Final | $175K |
| 2021-07-29 | regulatory | ADVERTISEMENTS SENT BY AGENTS TO PROSPECTIVE CLIENTS MISREPRESENTED AGENT EXPERIENCE AND CLIENT BASE. | Final | $200K |
| 2020-06-24 | regulatory | THE WASHINGTON OFFICE OF INSURANCE COMMISSIONER DETERMINED THAT THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY ACCEPTED ANNUITY APPLICATIONS FROM PRODUCERS THAT DID NOT COMPLETE THE REQUIRED ANNUITY SUITABILITY TRAINING. | Final | $2K |
| 2020-04-12 | regulatory | WASHINGTON OFFICE OF INSURANCE COMMISSIONER DETERMINED THAT NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY WAS NOT PAYING THE CORRECT AMOUNT OF INTEREST ON SOME LIFE INSURANCE DEATH CLAIMS GOVERNED BY WASHINGTON LAW. | Final | $20K |
| 2020-04-07 | regulatory | 7.FINRA ALLEGED THAT DURING THE PERIOD BETWEEN 2005 AND 2017, THE FIRM FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM THAT WAS REASONABLY DESIGNED TO REVIEW AND MONITOR THE TRANSMITTALS OF FUNDS FROM THE ACCOUNTS OF CUSTOMERS TO THIRD PARTY ACCOUNTS AND OUTSIDE ENTITIES IN VIOLATION… | Final | $350K |
| 2018-05-22 | regulatory | FINE, RESTITUTION, AND INJUNCTION RELATED TO THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS | Final | $26K |
| 2017-06-30 | regulatory | THE VERMONT DEPARTMENT OF FINANCIAL REGULATION ASSERTS THAT NORTHWESTERN MUTUAL DID NOT COMPLY WITH VERMONT LAW BY PAYING INTEREST BEFORE SETTLEMENT OF LIFE INSURANCE DEATH CLAIMS AT LESS THAN THE VERMONT STATUTORY RATE FOR CLAIMS IN WHICH THE BENEFICIARY RESIDED IN VERMONT AND THE LIFE INSURANCE PO… | Final | $287K |