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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-03-21
  • TX RA
    APPROVED
    Since 2014-03-21

Branch Locations

2345 Grand Blvd Ste 2000, Kansas City, MO 64108 • 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 06/2007 Present
Northwestern Investment Services, Llc Dallas TX 01/2008 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 06/2007 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2008 → Present
    Northwestern Investment Services, Llc
    Dallas, TX
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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. COACH, KC FLYERS TRACK CLUB, 8800 W 95TH ST, OVERLAND PARK, , KANSAS, 66212, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 06/04/2026, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, COACHING AND ORGANIZING. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-03-20
S63 Uniform Securities Agent State Law Examination 2008-02-25
  • S65 Uniform Investment Adviser Law Examination
    2014-03-20
  • S63 Uniform Securities Agent State Law Examination
    2008-02-25

View on SEC IAPD

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