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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2005-10-12 |
Branch Locations
3302 Mallard Cove Lane, Fort Wayne, IN 46804 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual | Milwaukee | WI | 02/2001 | Present |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 02/2001 | Present |
| Northwestern Mutual Wealth Mangement Company | Milwaukee | WI | 12/2010 | Present |
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. RTB PROPERTIES, LLC, INVESTMENT RELATED, 3302 MALLARD COVE LANE, FORT WAYNE, IN 46804, REAL ESTATE/RENTAL PROPERTY, 1% OWNER, 1/21/2014, BUILDING OWNERSHIP, ONE HOUR MONTH. 3. OWNER, SMG LEGACY INC. (WMC COMP AND EA EMPLOYMENT), 3302 MALLARD COVE LN, FORT WAYNE, , INDIANA, 46804, UNITED STATES OF AMERICA, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 1/24/2014, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 4. OWNER 1857, LLC , LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 12/27/2017, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+ ENTITY CREATED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 5. OWNER, 1888,LLC RECEIVING RISK COMPENSATION, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 2/1/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, MEMBER OF LLC 6. BOARD MEMBER, BRIDGE OF GRACE, 5100 GAYWOOD DR, FORT WAYNE, , INDIANA, 46806, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 09/08/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MEMBER OF BOARD OF DIRECTORS: ORGANIZATIONAL GOVERNANCE 7. SMG INSURANCE HOLDINGS, LLC, LEGAL ENTITY, START DATE: 8/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 8. SMG LEGACY OF ILLINOIS, INC, LEGAL ENTITY, START DATE: 8/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-12 |
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