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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2013-02-26
  • AZ RA
    APPROVED
    Since 2013-02-26

Branch Locations

1760 E River Rd Ste 247, Tucson, AZ 85718-5877 • 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
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 07/1987 Present
Northwestern Mutual Investment Services, Llc Tucson AZ 01/1988 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 07/1987 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/1988 → Present
    Tucson, AZ
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. 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. 2. 33.3% OWNER, LAZY E&H INVESTORS LLC, 8449 N GALLANT FOX DR, TUCSON, , ARIZONA, 85718, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 11/25/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, MEMBER OF LLC. NON INVESTMENT RELATED. 3. BOARD PRESIDENT, OVERTON RESERVE HOA, 8449 N GALLANT FOX DR, TUCSON, , ARIZONA, 85704, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 11/25/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ELECTED BOARD MEMBER PRESIDENT. NON INVESTMENT RELATED. 4. TRAIN ROCK LLC, 510 SUNSHINE LANE, SEDONA, , ARIZONA, 86336, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 08/18/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MANAGE SHORT TERM RENTAL PROPERTY. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-04-08
  • S63 Uniform Securities Agent State Law Examination
    1988-04-08
Other Names
  • Doug Jones

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