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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2006-08-22
  • KS RA
    APPROVED
    Since 2006-08-22

Branch Locations

17795 W 106Th St Ste 201, Olathe, KS 66061 • 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 05/2000 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 06/2000 Present
University Of South Florida Tampa FL 08/1996 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 04/2015 Present
  • 05/2000 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 06/2000 → Present
    Milwaukee, WI
  • 08/1996 → Present
    University Of South Florida
    Tampa, FL
  • 04/2015 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2007-03-28 → 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
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-31
S63 Uniform Securities Agent State Law Examination 2001-09-17
  • S66 Uniform Combined State Law Examination
    2006-07-31
  • S63 Uniform Securities Agent State Law Examination
    2001-09-17
Other Names
  • Katie Dawn Montague

View on SEC IAPD

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