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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2007-09-13
  • NE RA
    APPROVED
    Since 2007-09-13

Branch Locations

9300 Underwood Ave Ste 200, Omaha, NE 68114 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Milwaukee WI 10/1987 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 01/1988 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
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) 50% OWNER, J&JS ENTERPRISE, CROSS STREET OF 190TH STREET AND 369TH AVENUE, LAND TRACK 5, MILLER, SOUTH DAKOTA, 57362, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 08/20/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER. PURCHASED FOR HUNTING LAND. 3. OWNER, TAYMEL, INC., LEGAL ENTITY, START DATE: 1/21/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 4. OWNER, ST HOLDINGS 87 LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 08/30/2024, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. ROYAL FAMILY FARMS LLP, 15206 WEBER ST, BENNINGTON, , NEBRASKA, 68007, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 06/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, FARM LAND OWNWERSHIP. INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-01
S63 Uniform Securities Agent State Law Examination 2001-06-29
  • S66 Uniform Combined State Law Examination
    2007-08-01
  • S63 Uniform Securities Agent State Law Examination
    2001-06-29

View on SEC IAPD

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