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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2007-01-03
  • IN RA
    APPROVED
    Since 2007-01-03

Branch Locations

417 N Wayne St, Angola, IN 46703 • 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 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
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) 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-02
S63 Uniform Securities Agent State Law Examination 2004-05-12
  • S66 Uniform Combined State Law Examination
    2007-01-02
  • S63 Uniform Securities Agent State Law Examination
    2004-05-12

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