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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2016-02-10
  • WA RA
    APPROVED
    Since 2016-02-10

Branch Locations

12939 E Pinecroft Way Suite 200, Spokane Valley, WA 99216 • 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 Life Insurance Company Milwaukee WI 12/2015 Present
Northwestern Mutual Investment Services Llc Spokane WA 02/2016 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2016 Present
  • 12/2015 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 02/2016 → Present
    Spokane, WA
  • 09/2016 → 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. RSKMC, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 10/28/2020, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20,, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 3. 100% OWNER NORTH LAKE FIVE LLC , LEGAL ENTITY, START DATE: 5/1/2021, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 80+, WMA 4. 20% OWNERSHIP, LEGAL ENTITY PENDING, REAL ESTATE INVESTMENT PROPERTY, INVESTMENT PROPERTY, START DATE: 9/27/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNERSHIP OF BUILDING/LAND THAT NML OFFICE WOULD BE IN; INVESTMENT RELATED. 5. 33.33% OWNER, 8479 LEGACY PROPERTIES, LLC, INVESTMENT PROPERTY, START DATE: 10/6/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, INVESTMENT RELATED. 6. 100% OWNER, DKCK LLC, 21524 N MEADOWVIEW DR, COLBERT, , WASHINGTON, 99005, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 9/1/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, VERY LITTLE. WE WILL BE HIRING A PROPERTY MANAGER FOR ONGOING DUTIES. INVESTMENT RELATED 7. TREASURER, NEW CREATION FELLOWSHIP CHURCH, 1515 E FARWELL RD, SPOKANE, , WASHINGTON, 99208, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 1/12/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CHURCH TEASURER; NON INVESTMENT-RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-08
  • S66 Uniform Combined State Law Examination
    2016-01-08
Other Names
  • Douglas Hewson Lupton

View on SEC IAPD

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