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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 2007-05-22
  • IL RA
    APPROVED
    Since 2007-05-22

Branch Locations

1901 Butterfield Road Ste 300, Downers Grove, IL 60515 • 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 01/2003 Present
Northwestern Mutual Investment Services, Llc. Downers Grove IL 01/2003 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2012 Present
  • 01/2003 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2003 → Present
    Downers Grove, IL
  • 05/2012 → 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. ENDOWMENT COMMITTEE, HINSDALE UNION CHURCH, 137 S. GARFIELD AVE., HINSDALE, , ILLINOIS, 60521, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 2/15/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, WAS ON BOARD OF TRUSTEES RESPONSIBLE FOR PERSONNEL, PHYSICAL, AND MONETARY ASSETS OF THE CHURCH. DEVELOP BUDGET TO MEET NEEDS AND MISSION OF THE CHURCH. NEW ROLE WOULD BE ON THE ENDOWMENT COMMITTEE. TO MONITOR THE INVESTMENTS, DISBURSEMENTS, AND GIFTS RECEIPTS FOR ENDOWMENT FUNDS USED FOR NON OPERATING EXPENSES 3. BP EMPLOYMENT SERVICES LLC, LEGAL ENTITY, START DATE: 1/27/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 4. OWNER, HOGS AND HORSES LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 11/5/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5 BUSINESS PURPOSES, INVESTMENT RELATED. 5. OWNER, DHJAYHAWK ENTERPRISES, INC., LEGAL ENTITY, START DATE: 03/12/2025, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-18
S63 Uniform Securities Agent State Law Examination 2003-01-30
  • S66 Uniform Combined State Law Examination
    2006-01-18
  • S63 Uniform Securities Agent State Law Examination
    2003-01-30
Other Names
  • David H Johnson

View on SEC IAPD

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