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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2006-04-19
  • OH RA
    APPROVED
    Since 2006-04-19

Branch Locations

134 S Sandusky Ave, Upper Sandusky, OH 43351 • 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 Insurance Co. Milwaukee WI 12/2001 Present
Northwesterm Mutual Investments Services Llc Milwaukee WI 12/2001 Present
Wyandot Senior Village, Inc Upper Sandusky OH 08/2009 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 12/2001 → Present
    Northwestern Mutual Life Insurance Co.
    Milwaukee, WI
  • 12/2001 → Present
    Northwesterm Mutual Investments Services Llc
    Milwaukee, WI
  • 08/2009 → Present
    Wyandot Senior Village, Inc
    Upper Sandusky, OH
  • 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. WYANDOT SENIOR VILLAGE, INC., NON INVESTMENT RELATED, BOARD OF DIRECTORS 3. 100% OWNER, 10936 CH 330, 10936 CH 330, UPPER SANDUSKY, , OHIO, 43351, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 04/20/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWN THE PROPERTY

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-12
S63 Uniform Securities Agent State Law Examination 2004-02-19
  • S66 Uniform Combined State Law Examination
    2006-12-12
  • S63 Uniform Securities Agent State Law Examination
    2004-02-19

View on SEC IAPD

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