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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2015-06-10
  • NC RA
    APPROVED
    Since 2015-06-10

Branch Locations

9713 Northcross Ctr Ct Ste 300, Huntersville, NC 28078 • 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 Charlotte NC 03/2013 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 08/2012 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 03/2013 → Present
    Charlotte, NC
  • 08/2012 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-09
S63 Uniform Securities Agent State Law Examination 2013-06-19
  • S65 Uniform Investment Adviser Law Examination
    2015-06-09
  • S63 Uniform Securities Agent State Law Examination
    2013-06-19

View on SEC IAPD

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