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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2007-08-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services Llc | Birmingham | AL | 05/2006 | Present |
| Stella & Dot | Birmingham | AL | 07/2009 | Present |
| Adam Rhoades | Birmingham | AL | 05/2010 | 12/2019 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
| Dave Herring | Hoover | AL | 01/2020 | Present |
| Jay Dixon | Hoover | AL | 01/2020 | 12/2020 |
| Cooper Carden | Hoover | AL | 11/2021 | Present |
1. SALES CONSULTANT, RODAN AND FIELDS, 1827 CHESTNUT LANE, HOOVER, , ALABAMA, 35244, UNITED STATES OF AMERICA, MULTI-LEVEL-MARKETING, START DATE: 11/21/2017, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRODUCT SALES CONSULTANT, TALKING TO PEOPLE ABOUT THEIR SKINCARE NEEDS AND RECOMMENDING PRODUCTS 2. 8.33% OWNER, NICHOLAS ENTERPRISE LLC, 5440 HIGHLAND DRIVE, JACKSON, , MISSISSIPPI, 39206, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 03/22/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NO DESIGNATED DUTIES 3. 25% OWNER, DNP LEGACY INVESTMENTS LLC, 913 TALL PINES LANE, HOOVER, , ALABAMA, 35244, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 03/05/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 2004-03-19 |
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