CO
Christopher L. O'connell
NORTHWESTERN MUTUAL INVESTMENT SERVICES
Franklin, WI 53132
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CRD#: 2387460
CO
Professional summary
Christopher Lee O'connell, who also goes by Christopher Lee Oconnell, is a registered financial advisor currently at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located in Franklin, Wisconsin.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Christopher has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Lee Oconnell
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Lee O'connell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 30, 2026 - Present
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Office #1: One Northwestern Mutual Way, Franklin, WI 53132RIA
BD
CRD#: 2881
Franklin, WI
Past
May 12, 2006 - March 26, 2026
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 110774
TULSA, OK
Past
May 18, 1999 - October 29, 2001
HEARTLAND ADVISORS, INC.
BD
CRD#: 29433
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.
CRD#: 2881 / SEC#: 801-8095, 8-14088
RIA
Registered Investment Advisory firm - SEC (12/10/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Wisconsin(4/30/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.
CRD#: 2881 / SEC#: 801-8095, 8-14088
RIA
Registered Investment Advisory firm - SEC (12/10/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
Mailing Address
720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
Phone number
(414) 271-1444
Established
Wisconsin since 06/10/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,577
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
Red Flags
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Company Information
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881Franklin, WI 53132TRUST BUT VERIFY
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