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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2008-02-12
  • WA RA
    APPROVED
    Since 2008-02-12

Branch Locations

1201 Pacific Ave Ste 500, Tacoma, WA 98402 • 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 Investment Services, Llc Seattle WA 02/2002 Present
Northwestern Mutual Life Seatle WA 02/2002 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
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. MEMBER OF BOARD OF DIRECTORS, THE SALVATION ARMY, 1110 SOUTH PUGET SOUND AVENUE, TACOMA, , WASHINGTON, 98405, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 07/05/2016, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOARD OF DIRECTORS/MEMBER OF FINANCE COMMITTEE. PROVIDE INPUT ON BUDGET, FINANCING, AND DECISIONS PERTAINING TO BOARD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-19
S63 Uniform Securities Agent State Law Examination 2002-04-12
  • S66 Uniform Combined State Law Examination
    2006-10-19
  • S63 Uniform Securities Agent State Law Examination
    2002-04-12

View on SEC IAPD

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