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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APP_PEND_IARCE | 2026-01-01 |
Branch Locations
701 Xenia Ave S Ste 600, Golden Valley, MN 55416 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2008 | 12/2018 |
| Northwestern Mutual Investment Services, Llc | Edina | MN | 06/2015 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 12/2018 |
| Michael Smith | Rochester | MN | 01/2019 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2019 | Present |
1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS 2. BOARD OF DIRECTORS MEMBER, MY VERY OWN BED, 34 13TH AVE. NE, MINNEAPOLIS, , MINNESOTA, 55413, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 02/20/2023, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOARD OF DIRECTORS MEMBER AND MEMBER OF THE ORGANIZATIONÂ??S FINANCE AND INVESTMENT COMMITTEE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-18 |
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