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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2008-04-07
  • IL RA
    APPROVED
    Since 2008-04-07

Branch Locations

1 Northwestern Blvd, Albany, NY 12211 • 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 02/1994 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 07/1997 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 04/2017 Present
  • 02/1994 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 07/1997 → Present
    Milwaukee, WI
  • 04/2017 → 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. TREASURER, GRACE BIBLE CHURCH, 1279 NEW LOUDON RD, COHOES, , NEW YORK, 12047, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 01/26/2017, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER - COLLECT AND RECORD DONATIONS, PAY BILLS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-26
S63 Uniform Securities Agent State Law Examination 2003-03-25
  • S66 Uniform Combined State Law Examination
    2006-09-26
  • S63 Uniform Securities Agent State Law Examination
    2003-03-25

View on SEC IAPD

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