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

Apr 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66

First exam

Jul 26, 2022

First registration

Jul 27, 2022

Dual registered

yes, broker-dealer

Other names

Dave Guzman|Dave Jonathan Guzman

IAPD individual key

7210119

• Occurred

  Apr 19, 2023
  Advisor changed firm

  Dave Jonathan Guzman left Oneamerica Securities, Inc. for Northwestern Mutual Investment Services,Llc (registered 2024-06-14)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:54773bd1-0d56-a634-6281-bc2d465f2e5b

First observed

Jul 27, 2022

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.