Best Investors Account Sign in
Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2012-12-19
  • MA RA
    APPROVED
    Since 2012-12-19

Branch Locations

1001 Hingham St Ste 102, Rockland, MA 02370 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 10/1999 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 10/1999 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 10/1999 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 10/1999 → Present
    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. EXECUTIVE BOARD, CANTON ASSOCIATION OF BUSINESS AND INDUSTRY, 21 UNIVERSITY ROAD #E, CANTON, , MASSACHUSETTS, 02021, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 12/09/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SERVE ON THE EXECUTIVE BOARD I DO NOT WRITE CHECKS 3. DIRECTOR, UNIVERSITY OF MIAMI, 1320 S DIXIE HIGHWAY, CORAL GABLES, , FLORIDA, 33146, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 11/10/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ALUMNI BOARD OF DIRECTOR, CREATE VISION FOR THE UNIVERSITY'S ALUMNI ASSOCIATION 4. BOARD MEMBER, BLUE HILL BUSINESS GROUP, 999 RANDOLPH AVE, MILTON, , MASSACHUSETTS, 02186, UNITED STATES OF AMERICA, PRIVATE, START DATE: 10/11/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I SERVE AS A BOARD MEMBER FOR A BUSINESS DEVELOPMENT GROUP 5. LFG ENTERPRISES AND INSURANCE SERVICES, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 09/22/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 6. IBIS ENTERPRISES, LLC, LEGAL ENTITY, START DATE: 09/22/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-13
S63 Uniform Securities Agent State Law Examination 2000-01-18
  • S65 Uniform Investment Adviser Law Examination
    2012-12-13
  • S63 Uniform Securities Agent State Law Examination
    2000-01-18

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Rockland, MA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor