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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

705 36Th St S, Saint Cloud, MN 56301 • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
St. Cloud State University St. Cloud MN 10/1998 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 08/2001 Present
Northwestern Mutual Life Milwaukee WI 08/2001 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 10/1998 → Present
    St. Cloud State University
    St. Cloud, MN
  • 08/2001 → Present
    Milwaukee, WI
  • 08/2001 → Present
    Northwestern Mutual Life
    Milwaukee, WI
  • 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. PRESIDENT, STONEHAWK III, 8142 DAVIS STREET, GREENFIELD, , MINNESOTA, 55357, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 07/28/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT OF STONEHAWK ASSOCIATION III. MANAGE MEETINGS FOR HOME OWNERS ASSOCIATION. 15 PERSON HOA. NO INVOLVEMENT WITH FINANCIALS OF HOA. NOT ON CHECKING ACCOUNT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-02-09
S63 Uniform Securities Agent State Law Examination 2001-11-03
  • S65 Uniform Investment Adviser Law Examination
    2015-02-09
  • S63 Uniform Securities Agent State Law Examination
    2001-11-03
Designations

View on SEC IAPD

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