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Ann Marie Rochford Desroches

Northwestern Mutual Investment Services, LLC

Golden Valley, MN

CRD 4148460

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Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

  • INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2025-10-10
  • MN RA
    APPROVED
    Since 2025-10-10

Branch Locations

701 Xenia Ave S Ste 600, Golden Valley, MN 55416 • 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
Robert Anthony Stefani Edina MN 11/2006 Present
Northwestern Mutual Investment Services, Llc Edina MN 07/2007 Present
Northwestern Mutual Investment Services, Llc Edina MN 06/2013 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2015 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-13
S63 Uniform Securities Agent State Law Examination 2007-11-20
  • S66 Uniform Combined State Law Examination
    2013-06-13
  • S63 Uniform Securities Agent State Law Examination
    2007-11-20
Other Names
  • Ann Marie Rochford

View on SEC IAPD

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