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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2012-06-07
  • MO RA
    APPROVED
    Since 2012-06-07

Branch Locations

622 Emerson Rd Ste 400, Saint Louis, MO 63141 • 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 Yes
  • 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 02/2002 Present
Northwestern Mutual Investment Services, Llc St Louis MO 06/2012 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 12/2014 Present
  • 02/2002 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 06/2012 → Present
    St Louis, MO
  • 12/2014 → 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. ASSOCIATE PRODUCER, THE TODD ORGANIZATION, NONQUALIFIED EXECUTIVE BENEFIT AND COMPENSATION PLAN DESIGN AND CONSULTING, INVESTMENT RELATED, START 08/01/2009, 5 HRS PER MONTH.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-05
S63 Uniform Securities Agent State Law Examination 2002-11-05
  • S66 Uniform Combined State Law Examination
    2009-10-05
  • S63 Uniform Securities Agent State Law Examination
    2002-11-05

View on SEC IAPD

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