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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2011-03-29
  • LA RA
    APPROVED
    Since 2011-03-29

Branch Locations

127 W Broad St Suite 600 One Lake Side Plaza, Lake Charles, LA 70601-4260 • 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 Investment Services, Llc Lake Charles LA 02/2011 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 01/2011 Present
Northwestern Mutual Investment Services, Llc Lake Charales LA 02/2013 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2015 Present
Other Businesses

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.SOUTHPAW PROPERTIES OF LAKE CHARLES, LLC, 1603 ALVIN STREET, LAKE CHARLES, LA 70601, 33.3% OWNER, MANAGEMENT OF SINGLE FAMILY RENTAL PROPERTY, APPROX 10 HRS/MONTH, START DATE 10/4/2013. 3. 33.3% OWNER, SOUTHPAW PROPERTIES OF LAKE CHARLES, LLC, 1603 ALVIN STREET, LAKE CHARLES, , LOUISIANA, 70601, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 11/6/2013, HOURS PER MONTH: 6-20, MANAGEMENT OF SINGLE FAMILY RENTAL PROPERTY. 4. 100% OWNER, MD NORTHSTAR, LLC, 1603 ALVIN STREET, LAKE CHARLES, , LOUISIANA, 70601, UNITED STATES OF AMERICA, LEGAL ENTITY, START DATE: 02/23/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, NON-INVESTMENT RELATED. 5. MDDG, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 2/23/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, THIS IS A LEGAL, ADMINISTRATIVE, INCOME RECEIVING, EXPENSE PAYING ENTITY, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-25
S63 Uniform Securities Agent State Law Examination 2011-03-10
  • S65 Uniform Investment Adviser Law Examination
    2011-03-25
  • S63 Uniform Securities Agent State Law Examination
    2011-03-10
Other Names
  • Marty Gerard Derouen

View on SEC IAPD

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