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Robert H Posey

Northwestern Mutual Investment Services, LLC

Shreveport, LA

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2014-09-16
  • LA RA
    APPROVED
    Since 2014-09-16

Branch Locations

330 Marshall St Ste 1111, Shreveport, LA 71101 • 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
Northwestern Mutual Life Insurance Milwaukee WI 03/2002 Present
Northwestern Mutual Investment Services, Llc Baton Rouge LA 03/2002 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 03/2002 → Present
    Northwestern Mutual Life Insurance
    Milwaukee, WI
  • 03/2002 → Present
    Northwestern Mutual Investment Services, Llc
    Baton Rouge, LA
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-09-15
S65 Uniform Investment Adviser Law Examination 2014-08-20
  • S63 Uniform Securities Agent State Law Examination
    2014-09-15
  • S65 Uniform Investment Adviser Law Examination
    2014-08-20

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · SHREVEPORT, LA
CYPRESS FUND MANAGEMENT, LLC · SHREVEPORT, LA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SHREVEPORT, LA
ADKINS SEALE CAPITAL MANAGEMENT LLC · SHREVEPORT, LA
HMV WEALTH ADVISORS, LLC · SHREVEPORT, LA
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · Shreveport, LA
MORGAN STANLEY · Shreveport, LA
CETERA INVESTMENT ADVISERS LLC · SHREVEPORT, LA

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