NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC of MILWAUKEE, WI is an SEC-registered investment adviser (CRD 307865). Regulatory assets under management: $323.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Thomas David Zale | DIRECTOR; VICE PRESIDENT - REAL ESTATE | — |
| Daniel Joseph Julka | DIRECTOR; VICE PRESIDENT - PRIVATE SECURITIES | — |
| Raymond Jacob Auth | DIRECTOR; VICE PRESIDENT - INVESTMENT STRATEGY | — |
| John Emerson Bentley | CHAIRMAN & PRESIDENT | — |
| Jason Dale Smith | DIRECTOR; VICE PRESIDENT - PUBLIC INVESTMENTS | — |
| Daniel Michael Flesch | CHIEF OPERATING OFFICER | — |
| Deborah Allison Schultz | DIRECTOR; VICE PRESIDENT - CHIEF RISK OFFICER | — |
| Cindy Marie Dodge | TREASURER | — |
| Matthew Eugene Gabrys | CHIEF COMPLIANCE OFFICER | — |
| Michael Jordan Conmey | CHIEF COMPLIANCE OFFICER | — |
| Tina Gayle Gore | TREASURER | — |
| FLESCH MICHAEL | CHIEF OPERATING OFFICER | — |
| SMITH ALLEN DALE | DIRECTOR; VICE PRESIDENT - PUBLIC INVESTMENTS | — |
| JOELSON RONALD PETER | CHAIRMAN; PRESIDENT AND CHAIRMAN | — |
| LUEKEN JEFFREY JAMES | CHAIRMAN & PRESIDENT; DIRECTOR; SENIOR VICE PRESIDENT - PRIVATE SECURITIES; PRESIDENT | — |
| HEISTAD ANDREW JOHN | TREASURER | — |
| BENTLEY JOHN EMERSON | CHAIRMAN & PRESIDENT; DIRECTOR; SENIOR VICE PRESIDENT - PUBLIC INVESTMENTS; DIRECTOR; VICE PRESIDENT - PUBLIC INVESTMENTS | — |
| KROPP ROSANNE LEA | DIRECTOR; VICE PRESIDENT - INVESTMENT STRATEGY; DIRECTOR; VICE PRESIDENT - PUBLIC INVESTMENTS | — |
| CONMEY MICHAEL JORDAN | CHIEF COMPLIANCE OFFICER | — |
| ZALE THOMAS DAVID | DIRECTOR; VICE PRESIDENT - REAL ESTATE | — |
| JULKA DANIEL JOSEPH | DIRECTOR; VICE PRESIDENT - PRIVATE SECURITIES | — |
| AUTH RAYMOND JACOB | DIRECTOR; VICE PRESIDENT - INVESTMENT STRATEGY | — |
| GORE TINA GAYLE | TREASURER | — |
| 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 COMMUNI… | Final | $16.5M |
| 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 THE 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 |
| 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 |