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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2019-07-08
  • MI RA
    APPROVED
    Since 2019-07-08

Branch Locations

333 Bridge St Nw Ste 1200, Grand Rapids, MI 49504 • 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
University Of Nebraska-Lincoln Lincoln NE 08/1996 Present
Iguana'S Lincoln NE 09/2000 Present
The Northwestern Mutual Life Insurance Company Milwaukee WI 01/2001 Present
Northwestern Mutual Investment Services, Llc Lincoln NE 02/2001 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 08/1996 → Present
    University Of Nebraska-Lincoln
    Lincoln, NE
  • 09/2000 → Present
    Iguana'S
    Lincoln, NE
  • 01/2001 → Present
    The Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 02/2001 → Present
    Lincoln, NE
  • 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. 100% OWNER, DIERKS FINANCIAL GROUP, MD/DD DISTRICT AGENT LEGAL ENTITY, START DATE: 10/5/2017, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, MANAGING DIRECTOR, INVESTMENT RELATED, LEGAL ENTITY FOR MANAGEMENT OF DISTRICT OFFICE. 3. PERSONAL LOAN MADE TO FAMILY, 215 GRAND VIEW CIRCLE, MEAD, , COLORADO, 80542, UNITED STATES OF AMERICA, FINANCIAL SERVICES BUSINESS, START DATE: 12/10/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, EXECUTED WITH PROMISSORY NOTE; NON INVESTMENT-RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-21
S63 Uniform Securities Agent State Law Examination 2002-05-10
  • S66 Uniform Combined State Law Examination
    2013-08-21
  • S63 Uniform Securities Agent State Law Examination
    2002-05-10
Other Names
  • Joe Dierks

View on SEC IAPD

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