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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WV RA APPROVED 2009-10-29
  • WV RA
    APPROVED
    Since 2009-10-29

Branch Locations

601 Tennessee Ave, Charleston, WV 25302 • 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 09/2004 Present
Northwestern Mutual Investment Services, Llc Charleston WV 10/2009 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2012 Present
Northwestern Mutual Investment Services, Llc Charleston WV 06/2014 Present
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. COVENANT SCHOOL; INVESTMENT-RELATED; 2400 JOHNSTOWN RD, HUNTINGTON, WV 25701; MEMBER OF SCHOLARSHIP COMMITTEE; ALSO PREPARES FINANCIAL REPORTS FOR THE ORGANIZATION'S BOARD, RECONCILES BANK ACCOUNTS; START DATE 7/2/14; 2-3 HOURS PER MONTH DURING NON-TRADING HOURS. 3. TREASURER, CHURCH OF THE RESURRECTION, 406 10TH AVE W, HUNTINGTON, , WEST VIRGINIA, 25701, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 2/22/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, HELP SET UP THE BANK ACCOUNTS, DEPOSIT MONEY, PREPARE BUDGETS, ETC.; NON-INVESTMENT RELATED 3. WHR AGENCY INC, 100% OWNER, 920 QUARRIER ST CHARLESTON, WEST VIRGINIA 25301, S-CORP FOR ADMINISTRATIVE TRANSACTIONS AS MANAGING PARTNER, APPROX. 0-5 HRS/MONTH, START DATE 6/1/14, INVESTMENT RELATED. 4. COVENANT SCHOOL, 2400 JOHNSTOWN ROAD, HUNTINGTON WEST VIRGINIA 25701, FINANCE CHAIRMAN, ORGANIZING AND FUND-RAISING EVENTS, CONTRACTING MAJOR GIFTS DONORS, NO SOLE DECISION MAKING AUTHORITY, APPROX. 10 HRS/MONTH, 0-5 HRS DURING TRADING HOURS, START DATE 3/1/15, NON-INVESTMENT RELATED. 5. VICE PRESIDENT, THE BACKPACK PROJECT INC, NON-PROFIT, START DATE: 08/28/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, VICE PRESIDENT/OVERSEE ASSEMBLY OF BACKPACKS 6. BOARD MEMBER NONPROFIT, START DATE: 01/02/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER FOR A LOCAL CHAPTER OF YPO - YOUNG PRESIDENT'S ORGANIZATION. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-06
S63 Uniform Securities Agent State Law Examination 2005-03-10
  • S66 Uniform Combined State Law Examination
    2012-12-06
  • S63 Uniform Securities Agent State Law Examination
    2005-03-10
Designations

View on SEC IAPD

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