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24 West 40Th Street 15Th Floor, New York, NY 10018 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-02-28 |
Branch Locations
24 West 40Th Street 15Th Floor, New York, NY 10018 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 09/2015 | 02/2021 |
| Northwestern Mutual Investment Services Llc | New York | NY | 09/2015 | 02/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 02/2021 |
| Ritholtz Wealth Management | New York | NY | 02/2021 | 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. Chartwell Services LLC. Barrington RI. Owner. 1/2025. Vehicle to provide rent/services to RWM as it pertains to expenses. 1 hour/month. 0 hours during securities trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-15 |
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