This report is being provided as a courtesy for informational purposes. This report contains information about "Direct to Fund" accounts, which means that those assets are maintained by a mutual fund family or its transfer agent and not by Northwestern Mutual Investment Services, LLC ("NMIS") or its affiliates, and had not been audited by NMIS. This report is provided by SS&C Technologies, Inc. ("SS&C Technologies"), a third party vendor. The assets being reported on are held by the mutual fund family from whom you purchased them, and that mutual fund family has provided the data in this report to SS&C Technologies. Please review the account statements you receive from the mutual fund family for complete information on these assets.
NMIS is a member of SIPC (Securities Investor Protection Corporation) , which protects the value of securities in customers' NMIS accounts up to $500,000 (including up to $250,000 for claims for cash). Direct to Fund assets held by outside mutual fund families are not covered by NMIS' SIPC coverage. In addition, NMIS' clearing firm, Pershing LLC (Pershing), carries excess SIPC insurance coverage. Assets held at a custodial institution other than Pershing or other assets "not held" at Pershing, including but not limited to Direct to Fund assets, are not protected by the excess SIPC insurance policy. Information about SIPC is available upon request, or at www.northwesternmutual.com and at www.sipc.org. For answers to any questions regarding an outside mutual fund family's SIPC coverage, you may either contact your Financial Representative or the appropriate mutual fund family, or refer to the mutual fund family's statement regarding SIPC membership. SIPC coverage does not protect against potential losses due to market fluctuation.
This document is not to be construed as an offer or a solicitation of an offer to buy or sell securities mentioned. This report may not reflect all holdings or transactions, their values, costs, charges, or proceeds in your account. This information is not for official tax purposes and should not be relied on as such. Form 1099 should be relied on when preparing tax returns. Please consult with your own tax advisor for specific tax advice. The customer is responsible for verifying the accuracy of the data received. These reports are not to be used as a substitute for any reports distributed by your mutual fund or variable insurance companies nor any monthly or annual statements by the broker dealer that maintains your account. Securities are offered through Northwestern Mutual Investment Services, LLC (NMIS), member FINRA and SIPC. 1-866-664-7737.