Northwestern Mutual Home.Click on this to navigate to the home page.
  • Who We Are
    • Working with an Advisor
    • Our Financial Strength
  • Planning Services
    • Financial Planning
    • Retirement Planning
      • Retirement Calculator Beach chair icon
    • College Savings Plans
    • Private Client Services
    • Estate Planning
    • Long-Term Care
    • Business Services
  • Insurance
    • Life Insurance
      • Whole Life Insurance
      • Universal Life Insurance
      • Term Life Insurance
      • Life Insurance Calculator Umbrella icon
    • Disability Insurance
      • For Individuals
      • For Doctors and Dentists
    • Long-Term Care
    • Annuities
  • Investments
    • Investment Solutions
    • Advisory Programs
    • Private Client Services
  • Life & Money
    • Your Family
    • Your Home
    • Your Career
    • Money Basics
Skip navigation and proceed to main content
  • Find a Financial Advisor
  • Claims

Broker/Dealer Information

Clearing Agent

Pershing LLC DTCC # 0443
One Pershing Plaza
Jersey City, NJ 07399

Physical Certificates

Certificates for IRA accounts should be registered as follows:

NM Wealth Mgmt Co Cust
FBO: (client name) IRA
Acct #

Mail physical certificates to:
Pershing LLC
Attn: Security Receive Dept
One Pershing Plaza
Jersey City, NJ 07399

Register Book Entry Shares

NM Wealth Mgmt Co Cust
FBO: (client name) IRA
Acct #
Attn: Legal Transfers
720 E Wisconsin Ave
Milwaukee WI 53202


ADDITIONAL LEGAL INFORMATION

Northwestern Mutual

Security and Privacy

Online Privacy Statement

Third Party Links

Customer Privacy Notice

Anti Fraud Efforts

Illinois Customers

New York Customers

HIPAA Privacy Notice

Social Media Guidelines

Northwestern Mutual Investment Services, LLC

Broker Dealer Information

Order Routing Summary

Fee Schedule

Investing in Mutual Funds

Business Continuity Plan

Variable Products Compensation

Guides to Investing

Northwestern Long Term Care Insurance Company

HIPAA Privacy Notice

Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company and its subsidiaries. Life and disability insurance, annuities, and life insurance with long-term care benefits are issued by The Northwestern Mutual Life Insurance Company, Milwaukee, WI (NM). Long-term care insurance is issued by Northwestern Long Term Care Insurance Company, Milwaukee, WI, (NLTC) a subsidiary of NM. Securities are offered through Northwestern Mutual Investment Services, LLC, (NMIS) a subsidiary of NM, broker-dealer, registered investment adviser, member FINRA and SIPC. Fiduciary and fee-based financial planning services are offered through Northwestern Mutual Wealth Management Company® (NMWMC), Milwaukee, WI, a subsidiary of NM and a federal savings bank. Products and services referenced are offered and sold only by appropriately appointed and licensed entities and financial advisors. Not all products and services are available in all states. Not all Northwestern Mutual representatives are advisors. Only those representatives with the titles "Financial Advisor" or "Wealth Management Advisor" are credentialed as NMWMC representatives to provide advisory services.

Northwestern Mutual Home.Click here to go to Northwestern Mutual home page
  • About Us Newsroom Careers Information
    Protection
  • Business Services Contact Us FAQs Legal Notice
  • Sitemap Privacy Notices

Connect with us

Northwestern Mutual Facebook gray icon.Connect with us on Facebook Northwestern Mutual Twitter gray icon.Connect with us on Twitter Northwestern Mutual LinkedIn gray icon.Connect with us on LinkedIn Northwestern Mutual Instagram gray icon.Connect with us on Instagram Northwestern Mutual YouTube gray icon.Connect with us on YouTube
Find an Advisor Find an Advisor

Copyright © 2020 The Northwestern Mutual Life Insurance Company, Milwaukee, WI. All Rights Reserved. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company and its subsidiaries.