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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2014-03-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | Williamsville | NY | 01/2012 | Present |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2011 | 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) WNER, TRAGICALLY GRATEFUL, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 3/1/2022, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 21-40, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 3) 100% OWNER, RP O'CONNOR, LLC, LEGAL ENTITY, START DATE: 3/1/2022, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 4) 100% OWNER, 4085 SENECA LLC, 4085 SENECA STREET, WEST SENECA, , NEW YORK, 14224, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 09/22/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, N/A 5. 1% OWNER, 8802 BALCOM BEACH, LLC, 8802 BALCOM BEACH ROAD, RUSHFORD, , NEW YORK, 14777, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 01/27/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, THIS IS A SMALL LAKE HOME. WE PLAN TO RENT OUT A FEW TIMES A YEAR WHEN WE ARE NOT USING. 6. 100% OWNER, 8802 BALCOM BEACH, LLC, 8802 BALCOM BEACH ROAD, RUSHFORD, , NEW YORK, 14777, UNITED STATES OF AMERICA, PROERTY, START DATE: 1/27/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, THIS IS A SMALL LAKE HOME. WE PLAN TO RENT OUT A FEW TIMES A YEAR WHEN WE ARE NOT USING. investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 2012-04-06 |
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