This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Current firm class

no raum reportedderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Feb 1, 2010earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

5derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Jan 23, 2018

First registration

Aug 13, 2018

Dual registered

yes, broker-dealer

Other names

Monica Lee Smith|Monica Lee Smith|Monica Lee Dresser|Monica Dresser|Monica L Smith|Monica L Smith|Monica Dresser

IAPD individual key

6739052

Graph

RIA / Wealth Management

Canonical id

dfx:ria:29a8c2c8-ede8-a07a-fa05-dedcdd4ac9c5

First observed

Aug 13, 2018

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.