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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2007-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 12/2003 | Present |
| Northwestern Mutual Investment Services, Llc | Fort Wayne | IN | 01/2004 | Present |
| Northwestern Mutual Investment Services. Llc | Fort Wayne | IN | 01/2007 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 12/2010 | 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) RTB PROPERTIES, LLC, INVESTMENT RELATED, 3302 MALLARD COVE LANE, FORT WAYNE, IN 46804, 1% OWNER, 1-1-2014, ONE HOUR MONTH, 1% OWNER OF COMMERCIAL REAL ESTATE. 3) CAEDMON'S FARM-APARTMENT HOUSE; 5857 COUNTY ROAD 64, SPENCERVILLE, IN 46788, 100% OWNER; START 5/1/14; LANDLORD; 1 HOUR/MONTH; NON-INVESTMENT RELATED 4) OWNER, SMG LEGACY INC. (WMC COMP AND EA EMPLOYMENT), 3302 MALLARD COVE LANE, FORT WAYNE, , INDIANA, 46804, UNITED STATES OF AMERICA, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 1/1/2014, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 5) OWNER, 1857, LLC , LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 12/27/2017, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+ LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 6) OWNER, 1888, LLC, LEGAL ENTITY - RECEIVING RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 2/1/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 7) FINANCE SUB-COMMITTEE CHAIR, CENTRAL CHURCH, INC., 5801 SCHWARTZ RD., FORT WAYNE, , INDIANA, 46835, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 1/1/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, AID IN ANNUAL BUDGET AND CAPEX APPROVAL 8) INVESTMENT COMMITTEE MEMBER, STEUBEN COUNTY ECONOMIC DEVELOPMENT CORPORATION, 903 S. WAYNE STREET, ANGOLA, , INDIANA, 46703, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 4/7/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, INVESTMENT COMMITTEE MEMBER 9) SMG INSURANCE HOLDINGS, LLC, LEGAL ENTITY, START DATE: 8/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 10) SMG LEGACY OF ILLINOIS, INC., LEGAL ENTITY, START DATE: 8/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-02 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-12 |
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