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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WV | RA | APPROVED | 2009-10-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2005-03-10 |
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