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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2011-11-04
  • PA RA
    APPROVED
    Since 2011-11-04

Branch Locations

3701 Corporate Pkwy Ste 310, Center Valley, PA 18034 • 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 Lancaster PA 03/1997 Present
Northwestern Mutual Life Ins Co Milwaukee WI 03/1997 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2008 Present
Northwestern Mutual Investment Services, Llc Center Valley PA 05/2010 Present
  • 03/1997 → Present
    Northwestern Mutual Life
    Lancaster, PA
  • 03/1997 → Present
    Northwestern Mutual Life Ins Co
    Milwaukee, WI
  • 01/2008 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 05/2010 → Present
    Center Valley, PA
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. OWNER E-TOWER RESTORATION SPECIALISTS LLC, 1962 HERSHEY ROAD, ELIZABETHTOWN PA, 5 HOURS PER MONTH, NOT INVESTMENT RELATED. 2. 12.5 % OWNER, E-TOWN BUCKHORNS LLC, EAST SHAMBAKER ROAD, GAINES, , PENNSYLVANIA, 16921, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 09/15/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NONE, FAMILY LLC, INHERITED. INVESTMENT RELATED 3. 100% OWNER, RHJ3, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 11/01/2023, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-17
S63 Uniform Securities Agent State Law Examination 1999-01-29
  • S66 Uniform Combined State Law Examination
    2007-01-17
  • S63 Uniform Securities Agent State Law Examination
    1999-01-29

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