Richard Thomas Allen

Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

Current Employers

Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2007-08-30

NC RA
APPROVED

Since 2007-08-30

Branch Locations

6235 Carnegie Blvd, Charlotte, NC 28211 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Northwestern Mutual Life	Milwaukee	WI	02/1986	Present
Northwestern Mutual Investment Services, Llc	Milwaukee	WI	10/1987	Present
Northwestern Mutual Wealth Management Company	Milwaukee	WI	05/2007	Present

02/1986 → Present

Northwestern Mutual Life

Milwaukee, WI
10/1987 → Present

Northwestern Mutual Investment Services, Llc

Milwaukee, WI
05/2007 → Present

Northwestern Mutual Wealth Management Company

Milwaukee, WI

Previous Registrations

2003-02-10 → 2007-04-30

Northwestern Mutual Wealth Management Company

Milwaukee, WI

Other Businesses

MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-07
S63	Uniform Securities Agent State Law Examination	1990-02-21

S65 Uniform Investment Adviser Law Examination

1999-12-07
S63 Uniform Securities Agent State Law Examination

1990-02-21

Other Names

Rick Allen

View on SEC IAPD