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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2015-11-25
  • MT RA
    APPROVED
    Since 2015-11-25

Branch Locations

1276 N 15Th Ave Ste 202, Bozeman, MT 59715 • 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 08/2015 04/2017
Northwestern Mutual Investment Services Llc Bozeman MT 08/2015 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2016 04/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 04/2017 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2017 Present
  • 08/2015 → 04/2017
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 08/2015 → Present
    Bozeman, MT
  • 08/2016 → 04/2017
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 04/2017 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 05/2017 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, NON INVESTMENT RELATED 2. 34% OWNER, BAR W LLC, 84 ARROWHEAD TR, BOZEMAN, , MONTANA, 59718, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 3/1/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LAND OWNERSHIP. investment related. 4. 406 REFERRALS NETWORKING GROUP, FIDUCIARY CAPACITY, START DATE: 8/1/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MY RESPONSIBILITIES ARE SIMPLY TO HELP THE GROUP GET STARTED BY IDENTIFYING SPEAKERS FOR WEEKLY MEETINGS; NOT INVESTMENT-RELATED. 5. 100% OWNER, CWS HOLDINGS, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 12/12/2023, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+; ENTITY ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-23
S63 Uniform Securities Agent State Law Examination 2005-04-08
  • S66 Uniform Combined State Law Examination
    2015-11-23
  • S63 Uniform Securities Agent State Law Examination
    2005-04-08
Other Names
  • Claude W Smith
  • Claude Wilson Smith
  • Wilson Smith
  • Claude W Smith

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