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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2008-06-17
  • MA RA
    APPROVED
    Since 2008-06-17

Branch Locations

238 Main St Ste 2, Greenfield, MA 01301 • 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 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
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. 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-05-09
S63 Uniform Securities Agent State Law Examination 2007-06-08
  • S65 Uniform Investment Adviser Law Examination
    2008-05-09
  • S63 Uniform Securities Agent State Law Examination
    2007-06-08
Other Names
  • Merrill J Gagne

View on SEC IAPD

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