Susan Margaret Herrick

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2025-01-28

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Northwestern Mutual Investment Services Llc	Vernon Hills	IL	10/2021	01/2024
Captain Susan Herrick	Chicago	IL	02/2024	06/2024
Steve Mengyan	Vernon Hills	IL	10/2021	01/2024
Captain Susan Herrick	Chicago	IL	03/2021	09/2021
Ameriprise Financial Services	Chicago	IL	09/2020	02/2021
Captain Susan Herrick	Chicago	IL	11/2017	08/2020
Kovitz Investment Group	Chicago	IL	06/2009	10/2017
Ben Pipala	Vernon Hills	IL	10/2021	01/2024
Steve C Mengyan	Vernon Hills	IL	10/2021	01/2024
Jack Wambach	Rosemont	IL	07/2024	11/2024
Northwestern Mutual Investment Services Llc	Rosemont	IL	11/2024	Present
Jack Wambach	Rosemont	IL	11/2024	Present

10/2021 → 01/2024

Northwestern Mutual Investment Services Llc

Vernon Hills, IL
02/2024 → 06/2024

Captain Susan Herrick

Chicago, IL
10/2021 → 01/2024

Steve Mengyan

Vernon Hills, IL
03/2021 → 09/2021

Captain Susan Herrick

Chicago, IL
09/2020 → 02/2021

Ameriprise Financial Services

Chicago, IL
11/2017 → 08/2020

Captain Susan Herrick

Chicago, IL
06/2009 → 10/2017

Kovitz Investment Group

Chicago, IL
10/2021 → 01/2024

Ben Pipala

Vernon Hills, IL
10/2021 → 01/2024

Steve C Mengyan

Vernon Hills, IL
07/2024 → 11/2024

Jack Wambach

Rosemont, IL
11/2024 → Present

Northwestern Mutual Investment Services Llc

Rosemont, IL
11/2024 → Present

Jack Wambach

Rosemont, IL

2021-10-27 → 2024-01-25

Northwestern Mutual Investment Services, Llc

Vernon Hills, IL
2020-09-09 → 2021-02-24

Ameriprise Financial Services, Llc

Chicago, IL
2016-01-04 → 2017-10-24

Northcoast Asset Management Llc

Stamford, CT
2009-06-15 → 2015-12-31

Kovitz Investment Group, Llc

Chicago, IL

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-11-05
S63	Uniform Securities Agent State Law Examination	1997-12-15

Other Firms