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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

2990 Lava Ridge Ct Ste 210, Roseville, CA 95661 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond Yes
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutua Life Insurance Company Milwaukee WI 03/2003 Present
Northwestern Mutual Investment Services, Llc. Sacramento WI 10/2003 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2013 Present
  • 03/2003 → Present
    Northwestern Mutua Life Insurance Company
    Milwaukee, WI
  • 10/2003 → Present
    Sacramento, WI
  • 05/2013 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NO AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES ON NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-29
S63 Uniform Securities Agent State Law Examination 2003-12-22
  • S66 Uniform Combined State Law Examination
    2008-12-29
  • S63 Uniform Securities Agent State Law Examination
    2003-12-22

View on SEC IAPD

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