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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-24 |
| CA | RA | APPROVED | 2020-06-18 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 09/2003 | 06/2020 |
| Northwestern Mutual Investment Services Llc | Newport Beach | CA | 06/2005 | 06/2020 |
| Northwestern Mutual Investment Services, Llc | San Diego | CA | 02/2013 | 06/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2015 | 06/2020 |
| Commonwealth Financial Network | Waltham | MA | 06/2020 | 07/2026 |
| Duthie Financial Group | San Diego | CA | 06/2020 | Present |
| Commonwealth Financial Network | Waltham | MA | 07/2026 | Present |
1. Fixed insurance sales, as an Agent; As of 6/18/2020; 10% time spent during regular business hours; Conducted at branch; Investment related. 2. Mortgage Origination Referrals, KS Financial Services; as of 09/24/2020; 5% time spent during business hours; Conducted from branch location; Investment related. 3. Owner, Duthie Financial Group, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 6/18/2020; 99% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-14 |
| S65 | Uniform Investment Adviser Law Examination | 2013-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-05 |
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