Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
2881
WILLIAM BORCHERT
1057817
NORTHWESTERN MUTUAL INVESTMENT SERVICES
2881
WILLIAM BORCHERT
1057817
WILLIAM BORCHERT
1057817
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
2881
J. ALDEN ASSOCIATES, INC
40002
WILLIAM BORCHERT
1057817
WILLIAM BORCHERT
1057817
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
2881
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-02-28
D/A
$15,598,561.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2023-12-19
D
$1,188,362.00
No
$0.00
No
2023-02-27
D/A
$15,251,440.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2022-12-13
D
$1,048,323.00
No
$0.00
No
2022-10-11
D/A
$40,000,000.00
No
$0.00
No
2022-03-02
D/A
$15,251,440.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2021-12-08
D
$1,464,531.00
No
$0.00
No
2021-03-11
D/A
$15,251,440.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2020-12-28
D
$1,896,736.00
No
$0.00
No
2020-12-22
D/A
$40,000,000.00
No
$0.00
No
2020-04-24
D/A
$15,251,440.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2019-12-20
D/A
$40,000,000.00
No
$0.00
No
2019-12-12
D
$4,698,863.00
No
$0.00
No
2019-04-05
D/A
$14,817,709.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2018-12-19
D/A
$40,000,000.00
No
$0.00
No
2018-12-07
D
$4,735,637.00
No
$0.00
No
2018-03-15
D/A
$14,359,912.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2017-12-20
D/A
$40,000,000.00
No
$0.00
No
2017-12-18
D
$4,666,134.00
No
$0.00
No
2017-04-26
D/A
$13,772,747.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2016-12-19
D/A
$40,000,000.00
No
$0.00
No
2016-12-19
D/A
$40,000,000.00
No
$0.00
No
2016-12-08
D
$4,750,744.00
No
$0.00
No
2016-04-04
D/A
$13,601,043.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2015-12-11
D/A
$40,000,000.00
No
$0.00
No
2015-12-11
D
$6,561,469.00
No
$0.00
No
2015-04-20
D/A
$13,485,093.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2014-12-15
D/A
$40,000,000.00
Yes
$0.00
No
2014-12-05
D/A
$6,634,287.00
No
$0.00
No
2014-08-13
D/A
$40,000,000.00
Yes
$0.00
No
2013-12-13
D/A
$40,000,000.00
Yes
$0.00
No
2013-12-11
D/A
$6,445,456.00
No
$0.00
No
2013-12-11
D
$6,445,456.00
No
$0.00
No
2013-05-16
D/A
$40,000,000.00
Yes
$0.00
No
2012-12-31
D
$6,098,520.00
No
$0.00
No
2012-12-20
D/A
$40,000,000.00
Yes
$0.00
No
2012-11-15
D/A
$40,000,000.00
Yes
$0.00
No
2012-07-09
D/A
$30,000,000.00
Yes
$0.00
No
2012-03-21
D/A
$25,000,000.00
Yes
$0.00
No
2011-12-02
D/A
$20,000,000.00
Yes
$0.00
No
2011-11-15
D/A
$20,000,000.00
Yes
$0.00
No
2011-10-07
D
$5,635,005.00
No
$0.00
No
2011-07-28
D/A
$20,000,000.00
Yes
$0.00
No
2011-04-11
D/A
$20,000,000.00
Yes
$0.00
No
2010-12-14
D/A
$20,000,000.00
Yes
$0.00
No
2010-10-26
D/A
$20,000,000.00
Yes
$0.00
No
2010-07-22
D/A
$20,000,000.00
Yes
$0.00
No
2010-06-17
D/A
$4,708,034.00
No
$0.00
No
2010-04-06
D/A
$20,000,000.00
Yes
$0.00
No
2009-12-01
D/A
$20,000,000.00
Yes
$0.00
No
2009-06-02
D/A
$6,000,000.00
Yes
$0.00
No
2009-01-06
D/A
$4,000,000.00
Yes
$0.00
No