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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2013-02-04
  • OH RA
    APPROVED
    Since 2013-02-04

Branch Locations

3805 Edwards Road Suite 200, Cincinnati, OH 45209 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • 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 Cincinnati OH 12/2007 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 07/2007 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 12/2007 → Present
    Cincinnati, OH
  • 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. MEMBERSHIP CHAIR, FSP, VIRTUAL, VIRTUAL, , OHIO, 45209, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 6/15/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MEMBERSHIP/RECRUITING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-03-21
  • S63 Uniform Securities Agent State Law Examination
    2008-03-21
Designations

View on SEC IAPD

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