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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-11-04
  • MN RA
    APPROVED
    Since 2013-11-04

Branch Locations

1191 Northland Dr Ste 150, Mendota Hts, MN 55120 • 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
North Western Mutual Life Milwaukee WI 07/1988 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 09/1989 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2008 Present
  • 07/1988 → Present
    North Western Mutual Life
    Milwaukee, WI
  • 09/1989 → Present
    Milwaukee, WI
  • 08/2008 → 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. 100% OWNER, 380 SARATOGA ST. S., 380 SARATOGA ST. S., SAINT PAUL, , MINNESOTA, 55105, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 05/06/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, RENTAL PROPERTY. INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-17
S63 Uniform Securities Agent State Law Examination 1991-02-23
  • S65 Uniform Investment Adviser Law Examination
    1999-05-17
  • S63 Uniform Securities Agent State Law Examination
    1991-02-23
Designations

View on SEC IAPD

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