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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-01
  • FL RA
    APPROVED
    Since 2025-01-01

Branch Locations

2450 Tim Gamble Pl Fl 1, Tallahassee, FL 32308 • 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 No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Investment Services, Llc. Tallahassee FL 10/2004 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 03/2004 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 10/2004 → Present
    Tallahassee, FL
  • 03/2004 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. 100% OWNERSHIP, 2450 TIM GAMBLE PLACE, LLC, INVESTMENT PROPERTY, START DATE: 08/19/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNERSHIP OF A COMMERCIAL BUILDING 2. 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. 3. TBT GROUP, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 02/03/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. OWNER, GOAT MINDSET, LLC, LEGAL ENTITY, START DATE: 1/5/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 4. OWNER, CONSTITUTION PACE EQUIPMENT LLC, 1344 CONSTITUTION PLACE W, TALLAHASSEE, , FLORIDA, 32308, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 11/07/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON-INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-04-01
S63 Uniform Securities Agent State Law Examination 2006-09-22
  • S65 Uniform Investment Adviser Law Examination
    2014-04-01
  • S63 Uniform Securities Agent State Law Examination
    2006-09-22

View on SEC IAPD

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