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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2006-10-03 |
Branch Locations
225 W Randolph St Ste 2000, Chicago, IL 60606 • United States
4146617338, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-08 |
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