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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2014-03-27
  • NJ RA
    APPROVED
    Since 2014-03-27

Branch Locations

4085 Seneca St, West Seneca, NY 14224 • 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 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
  • 01/2012 → Present
    Williamsville, NY
  • 06/2011 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-03-24
S63 Uniform Securities Agent State Law Examination 2012-04-06
  • S65 Uniform Investment Adviser Law Examination
    2014-03-24
  • S63 Uniform Securities Agent State Law Examination
    2012-04-06

View on SEC IAPD

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