Nov 7, 2025

Northwestern Mutual Advisor Ryan Ainsworth Under Investigation For Alleged Misrepresentation

Our firm is investigating Northwestern Mutual Investment Services broker and investment adviser Ryan Ainsworth of Gilbert, Arizona, for potential investment-related misconduct. Financial Advisor’s Career History Ryan Ainsworth has been registered with Northwestern Mutual Investment Services, LLC (CRD#: 2881) since 2011, working primarily from branch offices in Washington and Arizona. His career includes roles as a registered representative, financial advisor, and insurance agent affiliated with various Northwestern Mutual entities. He holds licenses in 17 U.S. states and territories and has passed the SIE, Series 6, Series 63, and Series 65 examinations. Past and current positions include: Northwestern Mutual Investment Services, LLC – Registered Representative (2010–Present) Northwestern Mutual Life Insurance Company – Agent (2009–Present) Northwestern Mutual Wealth Management Company – Representative (2016–Present) Northwestern Mutual Investment Services, LLC – Financial Advisor (2015–2016) Additional non-investment employment as a softball coach (2023–Present)

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Jan 25, 2025

Robert Caraveo of Northwestern Mutual Investment Services, LLC Reviews

Robert Caraveo (CRD #5683459) , located in San Diego, California, is currently employed with Northwestern Mutual Investment Services, LLC as a registered broker and investment adviser since May 3, 2010. He is also affiliated with Northwestern Mutual Life Insurance Company and Northwestern Mutual Wealth Management Company. His primary office is in San Diego, California Mr. Caraveo has passed six industry exams, including one principal/supervisory exam, three general industry/product exams, and two multi-state securities law exams. He holds licenses in 34 U.S. states and territories, with registrations approved between 2010 and 2024. His qualifications include the Series 26, 7, 65, and 63 exams, demonstrating comprehensive knowledge in the securities industry.

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Nov 29, 2024

Jacob Lafond Formerly With Northwestern Mutual Investment Services, LLC FIRED

Jacob Lafond (CRD #5275358) who was formerly registered as a broker with Northwestern Mutual Investment Services, LLC and located in Roseville, California, is a subject of one of our many securities industry sales practice abuse investigations. • Jacob Matthew LaFond is no longer registered as a securities broker. His career includes registrations with Northwestern Mutual Investment Services, LLC (2012–2024), where he served as a registered representative. His professional journey involved employment at Northwestern Mutual Life Insurance Company and Northwestern Mutual Wealth Management Company. • LaFond passed two general industry/product exams and one multi-state securities law exam but did not pass any principal/supervisory exams. • Jacob Matthew LaFond was discharged on September 24 2024, by Northwestern Mutual Investment Services, LLC. The termination stemmed from an internal investigation alleging that he failed to follow firm policies on obtaining and documenting client consent for the surrender of insurance policies. This critical information reflects the importance of adherence to industry regulations and internal standards.

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Sep 21, 2024

Daniel Kozloski of Northwestern Mutual Investment Services LLC FIRED

Daniel Kozloski (CRD #5486167) who was formerly registered as a broker with Northwestern Mutual Investment Services LLC and located in Lakewood, Colorado, is a subject of one of our many securities industry sales practice abuse investigations. Daniel Joseph Kozloski III is a former registered securities broker with over 15 years of experience in the industry. He worked primarily for Northwestern Mutual Investment Services, LLC from October 2008 to August 2024. During his tenure, Kozloski passed two general industry/product exams: the Securities Industry Essentials Examination in October 2018 and the General Securities Representative Examination (Series 7) in October 2008. Additionally, he passed two multi-state securities law exams, the Uniform Investment Adviser Law Examination (Series 65) in September 2014 and the Uniform Securities Agent State Law Examination (Series 63) in September 2008. Kozloski is no longer registered with any firms, and throughout his career, he held various roles, including as a registered representative and a financial advisor. He was also involved in selling non-variable insurance products from companies not affiliated with Northwestern Mutual.

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Dec 3, 2023

Joshua Jenkins of Northwestern Mutual Investment Services, LLC

Joshua Jenkins of Northwestern Mutual Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Jenkins (CRD #6061301) who is currently registered as a broker with Northwestern Mutual Investment Services, LLC and located in Mechanicsburg, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations.

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Mar 7, 2022

Ian Pierce formerly with Northwestern Mutual Investment Services

Ian Pierce Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Pierce (CRD #6205487) who was formerly registered with Northwestern Mutual Investment Services and located in West Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.

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