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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 2006-10-03
  • IL RA
    APPROVED
    Since 2006-10-03

Branch Locations

225 W Randolph St Ste 2000, Chicago, IL 60606 • United States

4146617338, IL • 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 06/2002 Present
Northwestern Mutual Investment Services, Llc Chicago IL 03/2008 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2013 Present
  • 06/2002 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 03/2008 → Present
    Chicago, IL
  • 01/2013 → 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. 100% OWNER, HOLO PEVE, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 10/1/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 3. SMALL FAMILY COMPANIES, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/16/2026, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 21-40, INVESTMENT-RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-29
S63 Uniform Securities Agent State Law Examination 2003-04-08
  • S65 Uniform Investment Adviser Law Examination
    2006-09-29
  • S63 Uniform Securities Agent State Law Examination
    2003-04-08

View on SEC IAPD

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