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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-09-09
  • CA RA
    APPROVED
    Since 2025-09-09

Branch Locations

1425 River Park Drive Suite 100, Sacramento, CA 95815 • 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 06/1996 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 07/2008 Present
Northwestern Mutual Investment Services, Llc Sacramento CA 10/2013 Present
Northwestern Mutual Investment Services, Llc Sacramento CA 10/2013 Present
Other Businesses

1. ABELL INSURANCE CORPORATION, INVESTMENT RELATED, 1425 RIVER PARK DRIVE, SACRAMENTO, CA 95815, NETWORK OFFICE OPERATIONS, OWNER/MANAGING PARTNER, 1-8-2014. 2. BOARD MEMBER NONPROFIT, 6025 PRINCETON REACH WAY, GRANITE BAY, , CALIFORNIA, 95746, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 09/14/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER- CHECK APPROVALS-DEPOSITS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-07
S63 Uniform Securities Agent State Law Examination 1997-08-01
  • S66 Uniform Combined State Law Examination
    2005-12-07
  • S63 Uniform Securities Agent State Law Examination
    1997-08-01
Other Names
  • Rick Abell

View on SEC IAPD

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