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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2006-01-18
  • WI RA
    APPROVED
    Since 2006-01-18

Branch Locations

309 N Water St Ste 150, Milwaukee, WI 53202 • 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
Northestern Mutual Investment Services, Llc Miwaukee WI 03/2000 Present
Northwestern Mutual Life Insurance Co. Milwaukee WI 03/2000 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2014 Present
  • 03/2000 → Present
    Northestern Mutual Investment Services, Llc
    Miwaukee, WI
  • 03/2000 → Present
    Northwestern Mutual Life Insurance Co.
    Milwaukee, WI
  • 08/2014 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. TRUSTEE FOR ROBT. W. BAIRD ACCOUNT 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-18
S63 Uniform Securities Agent State Law Examination 2000-05-09
  • S65 Uniform Investment Adviser Law Examination
    2006-01-18
  • S63 Uniform Securities Agent State Law Examination
    2000-05-09

View on SEC IAPD

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