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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2011-01-27
  • OH RA
    APPROVED
    Since 2011-01-27

Branch Locations

7570 Bales St Suite 200, West Chester, OH 45069 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 03/2002 Present
Northwestern Mutual Investment Services, Llc Dayton OH 06/2002 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 03/2002 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 06/2002 → Present
    Dayton, OH
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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, AIMEE'S, 380 MIDDLETOWN EATON RD., MIDDLETOWN, , OHIO, 45042, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 12/5/2022, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-12-29
  • S63 Uniform Securities Agent State Law Examination
    2004-12-29

View on SEC IAPD

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