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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APP_PEND_IARCE 2026-01-01
  • MN RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

203 Jewett Street, Marshall, MN 56258 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Ins Co Milwaukee MN 10/1996 Present
Northwestern Mutual Investment Services, Llc Eagan MN 11/1996 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2010 Present
  • 10/1996 → Present
    Northwestern Mutual Life Ins Co
    Milwaukee, MN
  • 11/1996 → Present
    Eagan, MN
  • 06/2010 → 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. OWNER, TODD BOCK AGENCY (SALE & SERVICE OF NON-NM INSURANCE PRODUCTS), 203 JEWETT ST, MARSHALL, MINNESOTA, 56258, UNITED STATES OF AMERICA, OTHER NAME, START DATE: 1/1/2000, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, COMMISSION FROM INSURANCE SALES: HEALTH, GROUP LIFE, DENTAL, GROUP LTD. 3. PRESIDENT, HOLY REDEEMER FOUNDATION, 503 WEST LYON ST., MARSHALL, , MINNESOTA, 56258, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 08/05/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT, NOT INVESTMENT RELATED 4. BE ENTERPRISES, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 02/05/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. BOCKER, LLC, LEGAL ENTITY, START DATE: 02/05/2026, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-23
S63 Uniform Securities Agent State Law Examination 1997-01-31
  • S65 Uniform Investment Adviser Law Examination
    1999-12-23
  • S63 Uniform Securities Agent State Law Examination
    1997-01-31
Other Names
  • Todd A Bock

View on SEC IAPD

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