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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2011-12-15 |
Branch Locations
1 Smart Way Suite 101, Baton Rouge, LA 70810 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 09/1998 | Present |
| Northwestern Mutual Investment Services, Llc | Baton Rouge | LA | 09/1998 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 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) 100% OWNER, WRH IM 1, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, INVESTMENT RELATED, START DATE: 08/31/2021, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, BUSINESS LEGAL ENTITY
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-12-02 |
| S65 | Uniform Investment Adviser Law Examination | 2011-12-12 |
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