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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MS RA APPROVED 2023-03-28
TN RA APPROVED 2004-04-01
  • MS RA
    APPROVED
    Since 2023-03-28
  • TN RA
    APPROVED
    Since 2004-04-01

Branch Locations

1770 Kirby Pkwy Ste 400 Forum Iii, Memphis, TN 38138 • 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 Insurance Company Milwaukee WI 01/2003 Present
Northwestern Mutual Investment Services, Llc Memphis TN 01/2003 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
Home Solutions Lakeland TN 04/2015 Present
  • 01/2003 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2003 → Present
    Memphis, TN
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 04/2015 → Present
    Home Solutions
    Lakeland, TN
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. 100% OWNER, STEVE SCOTT, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 06/16/2020, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 21-40, STRICTLY FOR THE PURPOSE OF RECEIVING WMC COMMISSIONS. 3.STRUCTURED SETTLEMENT, OTHER NAME, START DATE: 12/01/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PLAINTIFF ATTORNEY GARY SMITH, ASKED ME TO DO A STRUCTURED SETTLEMENT FOR HIS CLIENT, MS. CONQUISHA HOLMES. WE DO NOT OFFER A STRUCTURED PRODUCT, A FIXED ANNUITY, THEREFORE I HAVE TO BRING IN CORNERSTONE SETTLEMENTS TO ACTUALLY DO THE STRUCTURE ITSELF. CORNERSTONE SETTLEMENTS WORKS WITH NORTHWESTERN FR'S IN THIS CAPACITY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-07
S63 Uniform Securities Agent State Law Examination 2000-01-07
S65 Uniform Investment Adviser Law Examination 1999-12-30
  • S66 Uniform Combined State Law Examination
    2008-07-07
  • S63 Uniform Securities Agent State Law Examination
    2000-01-07
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
Other Names
  • Steve Scott

View on SEC IAPD

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