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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2007-08-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life | Milwaukee | WI | 06/1998 | Present |
| Northwestern Mutual Investment Services, Llc | Omaha | NE | 09/1998 | 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. 6.86% OWNER, 4 WIZARDS, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 9/25/2021, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 3. 100% OWNER, LEGACYB 1974, LEGAL ENTITY, START DATE: 9/25/2021, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, PRIVATE WEALTH ADVISOR - BUSINESS DEVELOPMENT 4. PRESIDENT, MARIPOSA LAKE ASSOCIATION, MARIPOSA LAKE DEVELOPMENT, MARQUETTE, , NEBRASKA, 68854, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 04/15/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT OF THE MARIPOSA LAKE ASSOCIATION BOARD. NON-INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-05 |
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