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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2006-01-30
  • TN RA
    APPROVED
    Since 2006-01-30

Branch Locations

633 Chestnut St Ste 1100 Republic Centre, Chattanooga, TN 37450 • 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 Milwaukee WI 08/1999 Present
Northwestern Mutual Investment Services Llc Milwaukee WI 10/1999 Present
Northwestern Mutual Investment Services, Llc. Chattanooga TN 01/2006 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 07/2009 Present
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) 10% OWNER, HILL HAVEN HOLDINGS, LLC, 2598 BRISTLECONE LANE, SIGNAL MOUNTAIN, TENNESSEE, 37377, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 06/20/2017, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, 10% OWNERSHIP IN AN LLC WITH MY WIFE OWNING 90% 2)33.3% OWNER, NU HAVEN PROPERTIES, 8851 DAYTON PIKE, SODDY DAISY, , TENNESSEE, 37379, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 10/19/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER 3)12.5% OWNER, D&B EQUITY PARTNERS, 3216 GOFORTH ROAD, SPENCER, , TENNESSEE, 38585, UNITED STATES OF AMERICA, LEGAL ENTITY, START DATE: 10/19/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, 12.5 OWNERSHIP 4) BFP INSURANCE SERVICES LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 7/25/2025, 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 2006-05-18
S63 Uniform Securities Agent State Law Examination 2000-09-13
  • S66 Uniform Combined State Law Examination
    2006-05-18
  • S63 Uniform Securities Agent State Law Examination
    2000-09-13

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