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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2015-01-13
  • KS RA
    APPROVED
    Since 2015-01-13

Branch Locations

5251 W 116Th Pl Ste 300, Leawood, KS 66211 • 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 Inc Co Milwaukee WI 06/1996 Present
Northwestern Mutual Investment Services, Llc Kc MO 07/1996 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
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. 100% OWNER, SOCCER REFEREE, 13815 HARDY ST, OVERLAND PARK, , KANSAS, 66223, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 09/12/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, REFERREE SOCCER GAMES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-21
S63 Uniform Securities Agent State Law Examination 1996-09-23
  • S66 Uniform Combined State Law Examination
    2005-12-21
  • S63 Uniform Securities Agent State Law Examination
    1996-09-23
Designations
Other Names
  • Jim King

View on SEC IAPD

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