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Deborah Schultz

Director; Vice President - Chief Risk Officer at Northwestern Mutual Investment Management

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Deborah Schultz is Director; Vice President - Chief Risk Officer of Northwestern Mutual Investment Management Company, LLC, a Milwaukee investment adviser managing $323B. Deborah Schultz has a current broker registration and no current investment-adviser registration and has passed the SIE, Series 7TO, Series 24 and Series 99TO.

Role at Northwestern Mutual Investment Management

Title on Schedule A
Director; Vice President - Chief Risk Officer
Control
Deborah Schultz is a control person of Northwestern Mutual Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Deborah Schultz has held the filed role since January 2025.

The firm

Northwestern Mutual Investment Management Company, LLC
Milwaukee, WI

Form ADV filed 6 May 2026

$323B AUM23 clients213 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed Series 24 · 2022
  3. Passed SIE and Series 7TO · 2021

Registrations and exams

Broker registration; no current adviser registration. Deborah Schultz has passed 4 qualifying exams.

Examinations

Series 2412 March 2022
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 7TO15 December 2021
Name
General Securities Representative Examination
SIE25 October 2021
Name
Securities Industry Essentials Examination

Individual record

Full name
Deborah Allison Schultz
CRD
7440134
Firm
Northwestern Mutual Investment Management Company, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Deborah Schultz work?

Deborah Schultz has been Director; Vice President - Chief Risk Officer of Northwestern Mutual Investment Management Company, LLC since January 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 6 May 2026

Does Deborah Schultz have a current investment-adviser registration?

Deborah Schultz has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Deborah Schultz passed?

Deborah Schultz has passed 4 licensing exams: the SIE, Series 7TO, Series 24 and Series 99TO. The earliest, the SIE, was passed in October 2021.

Source: IAPD individual record, checked 18 October 2026

Leadership at Northwestern Mutual Investment Management

Sources

  1. IAPD individual record, CRD 7440134. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Northwestern Mutual Investment Management Company, LLC, filed 6 May 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Deborah Schultz or Northwestern Mutual Investment Management Company, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.