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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2008-06-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 11/2007 | Present |
| Northwestern Mutual Investment Services, Llc | Greenfield | MA | 01/2008 | Present |
| Northwestern Mutual Investment Services, Llc | Greenfield | MA | 10/2010 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 06/2011 | 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. BOARD MEMBER/FINANCE COMMITTEE/GREENFIELD PUBLIC LIBRARY FOUNDATION, MAIN ST, GREENFIELD, , MASSACHUSETTS, 01301, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 01/25/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, HELP THE GREENFIELD PUBLIC LIBRARY FOUNDATION FINANCE COMMITTEE MANAGE DONATIONS COMING IN OVER THE NEXT FIVE YEARS TO THEN BE DISBURSED TO THE TOWN TO BUILD THE NEW LIBRARY. 3. TRUSTEE, YMCA OF FRANKLIN COUNTY, FIDUCIARY CAPACITY, START DATE: 08/05/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OVERSIGHT OF MANAGERS AND USAGE OF ENDOWMENTS THAT THE YMCA USES TO OPERATE. NON-INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2007-06-08 |
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