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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2007-08-30
  • AL RA
    APPROVED
    Since 2007-08-30

Branch Locations

1849 Data Dr, Hoover, AL 35244 • 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 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
  • 05/2006 → Present
    Birmingham, AL
  • 07/2009 → Present
    Stella & Dot
    Birmingham, AL
  • 05/2010 → 12/2019
    Adam Rhoades
    Birmingham, AL
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 01/2020 → Present
    Dave Herring
    Hoover, AL
  • 01/2020 → 12/2020
    Jay Dixon
    Hoover, AL
  • 11/2021 → Present
    Cooper Carden
    Hoover, AL
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-27
S63 Uniform Securities Agent State Law Examination 2004-03-19
  • S66 Uniform Combined State Law Examination
    2007-08-27
  • S63 Uniform Securities Agent State Law Examination
    2004-03-19
Other Names
  • Allison Louise Parks
  • Allison P Rosenboom
  • Allison P. Rosenboom
  • Allison Parks

View on SEC IAPD

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