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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-02-20
  • CT RA
    APPROVED
    Since 2009-02-20

Branch Locations

274 Riverside Ave Ste 4, Westport, CT 06880 • 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 07/2007 Present
Northwestern Mutual Investment Services Llc Stamford CT 02/2008 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 07/2007 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 02/2008 → Present
    Stamford, CT
  • 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. 1974 OLD ROUTE, LLC, 1974 OLD ROUTE 17, ROSCOE, , NEW YORK, 12776, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 9/24/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I INTEND TO PURCHASE A COMMERCIAL BUILDING THAT HAS 7 APARTMENTS THAT WILL BE RENOVATED AND RENTED.; INVESTMENT-RELATED 3.DIRECTOR OF THE BOARD, WATERSHED AGRICULTURAL COUNCIL - FINANCE, ECONOMIC VIABILITY & GOVERNANCE COMMITTEES, 33195 STATE HIGHWAY 10, WALTON, , NEW YORK, 13856, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 10/1/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON INVESTMENT RELATED 4. 50% OWNER, DOE HILL FARM, 952 ARLYN MILK RD, LONG EDDY, , NEW YORK, 12760, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 06/12/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, WE ARE RESPONSIBLE FOR MANAGING OUR SMALL FARM HOMESTEAD. WE TAKE CARE OF SOME FARM ANIMALS, HAY THE FIELDS, TEND A GARDEN, CARE FOR SOME FRUIT TREES, CUT OUR FIREWOOD, MILL SOME LUMBER... HOMESTEADING STUFF. investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-26
  • S66 Uniform Combined State Law Examination
    2009-01-26

View on SEC IAPD

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