Seth Richard Tracy

Current Employers

Employment History

• 08/1997 → Present
  Northwestern Mutual Investment Services, Llc
  Milwaukee, WI
• 05/2007 → Present
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 02/2013 → Present
  Tim J Harrison
  Omaha, NE

Previous Registrations

• 2007-02-01 → 2007-04-30
  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, ENTREPRENEURS ORGANIZATION, 1010 N 192ND STREET, ELKHORN, , NEBRASKA, 68022, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 08/17/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER FOR THIS NETWORKING GROUP 3) 100% OWNER, PNP FOCUS, LLC, LEGAL ENTITY, START DATE: 9/25/2021, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, PRIVATE WEALTH ADVISOR - DEVELOP AND MAINTAIN CLIENT RELATIONSHIPS; BUSINESS DEVELOPMENT 4) 4.79% OWNER, 4 WIZARDS, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 9/25/2021, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79; ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 5) VICE CHAIRMAN, BOARD OF DIRECTORS, FOOD BANK FOR THE HEARTLAND, 10525 J STREET, OMAHA, , NEBRASKA, 68127, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 06/24/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MEMBER OF THE BOARD OF DIRECTORS AND MEMBER OF THE FINANCE COMMITTEE. NON-INVESTMENT RELATED.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-06-03
• S63 Uniform Securities Agent State Law Examination
  1997-12-15