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333 E Short St. #210, Lexington, KY 40507 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-02-13 |
| KY | RA | APPROVED | 2023-01-31 |
| TX | RA | APPROVED_RES | 2022-11-09 |
| OH | RA | APPROVED | 2022-03-01 |
| CA | RA | APPROVED | 2022-02-14 |
| WA | RA | APPROVED | 2021-12-10 |
| IN | RA | APPROVED | 2021-08-30 |
| MI | RA | APPROVED | 2021-08-11 |
| IL | RA | APPROVED | 2021-08-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2015 | 08/2021 |
| Northwestern Mutual Investment Services Llc | Chicago | IL | 04/2015 | 08/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 02/2016 | 08/2021 |
| Abri Llc | Oak Park | IL | 08/2021 | Present |
1. ABRI FI LLC; MAY EARN COMMISSIONS FROM INSURANCE COMPANIES WITH VARIABLE INSURANCE COMPANIES FOR NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. INVESTMENT RELATED. OWNER/INSURANCE AGENT. SPENDS APPROX. 8 HRS/MTH, 8 HRS DURING TRADING. 2. TEAL RIDGE ROOFING AND EXTERIORS, LLC; NON-INVESTMENT RELATED; 133 OLD FARM ROAD, LEXINGTON KY 40475; ROOFING COMPANY; MARKETING AND EXECUTIVE LEADERSHIP; 9/2025; 20 HOURS PER MONTH AFTER TRADING HOURS; MARKETING AND EXECUTIVE LEADERSHIP.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-01 |
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