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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2008-12-02 |
Branch Locations
55 Shuman Blvd Ste 600, Naperville, IL 60563 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Co. | Milwaukee | WI | 12/2001 | Present |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 12/2001 | Present |
| Northwestern Mutual Investment Services, Llc | Aurora | IL | 08/2009 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2014 | Present |
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. EQUITY OWNER, LWC USA LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 11/21/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. DOREL MARCHIS MGMT LLC, LEGAL ENTITY, START DATE: 1/1/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-21 |
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