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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2003-02-10 |
Branch Locations
Ste 410 23975 Park Sorrento, Calabasas, CA 91302 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| San Diego State University | San Diego | CA | 09/1996 | Present |
| Northwestern Mutual Life Insurance Co | Milwaukee | WI | 02/1998 | Present |
| Northwestern Mutual Investment Services, Llc | San Diego | CA | 02/1998 | Present |
| Robert W. Baird & Co. Incorporated | San Diego | CA | 02/1998 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2007 | Present |
1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, NON INVESTMENT RELATED 2. 100% OWNER, FC, INC., LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 05/20/2022, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-02 |
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