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
CA RA APPROVED 2005-10-12
  • CA RA
    APPROVED
    Since 2005-10-12

Branch Locations

1049 4Th St Ste I, Santa Rosa, CA 95404 • 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 Company Milwaukee WI 03/2002 Present
Northwestern Mutual Investment Services, Llc Santa Rosa CA 03/2002 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 03/2002 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 03/2002 → Present
    Santa Rosa, CA
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2006-07-20 → 2007-04-30
    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) SHARON AND GREG ZIMMERMAN APARTMENTS - 50 % OWNER - 3926 ST. ANDREWS DRIVE, SANTA ROSA, CA - 2 HOURS PER MONTH. 3) 50% OWNER, 3901 PETAL GLEN PL, 3901 PETAL GLEN PL, SANTA ROSA, , CALIFORNIA, 95403, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 09/24/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MANAGE RENTAL OF AN ADU ON OUR PROPERTY

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-06
S63 Uniform Securities Agent State Law Examination 2002-04-27
  • S66 Uniform Combined State Law Examination
    2005-10-06
  • S63 Uniform Securities Agent State Law Examination
    2002-04-27
Other Names
  • Sharon Marie Smiley
  • Sharon S Zimnerman

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Santa Rosa, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor