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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2010-09-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2008 | Present |
| Northwestern Mutual Investment Services, Llc | Columbia | SC | 05/2010 | Present |
| University Of South Carolina | Columbia | SC | 08/2006 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
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- DREW D STEVENS LLC, 100% OWNERSHIP, INVESTMENT RELATED, ENTITY ESTABLISHED TO FACILITATE EXPENSES, STARTED 9/17/12, 0-5 HRS PER MONTH. 3. TREASURER, MELIUS FORUM, 2142 BOYCE STREET, COLUMBIA, , SOUTH CAROLINA, 29201, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 04/28/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PAY FOR THE COFFEE AND DONUTS, COLLECT ANNUAL DUES 4. 33% OWNER, SINK OR SWIM HOLDINGS LLC, 1014 GREENE STREET, COLUMBIA, , SOUTH CAROLINA, 29208, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 12/18/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, INVESTMENT RELATED. 5. OWNER, 410 HOLDINGS LLC, 1125 ADGER ROAD, COLUMBIA, , SOUTH CAROLINA, 29205, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 09/21/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON-INVESTMENT RELATED. 6. CHAIR, UNITED WAY OF THE MIDLANDS, 1818 BLANDING STREET, COLUMBIA, , SOUTH CAROLINA, 29201, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 10/23/2025, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, FUNDRAISING. NON-INVESTMENT RELATED. 7. 1901 PARTNERS, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 11/15/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 8. JAMES BROOKS, LLC, LEGAL ENTITY, START DATE: 11/15/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 9. OWNER, 410 HOLDINGS LLC, 3818 DEVINE STREET, COLUMBIA, SOUTH CAROLINA, 29205, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 08/07/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-08-20 |
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