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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 2007-10-25
  • IL RA
    APPROVED
    Since 2007-10-25

Branch Locations

377 E Butterfield Rd Ste 400, Lombard, IL 60148 • 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 Iinsurance Company Milwaukee WI 03/2002 Present
Northwestern Mutual Investment Services, Llc Rockford IL 02/2012 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 03/2002 → Present
    Northwestern Mutual Life Iinsurance Company
    Milwaukee, WI
  • 02/2012 → Present
    Rockford, IL
  • 01/2016 → 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. BOARD MEMBER NONPROFIT, 1877 W DOWNER PL, AURORA, , ILLINOIS, 60506, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 5/3/2021, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, PRESIDENT OF BOARD OF EDUCATION

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-12
S63 Uniform Securities Agent State Law Examination 1998-08-03
  • S66 Uniform Combined State Law Examination
    2007-10-12
  • S63 Uniform Securities Agent State Law Examination
    1998-08-03
Other Names
  • Richard A Kerns
  • Richard A Kerns

View on SEC IAPD

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