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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-07-03
  • NJ RA
    APPROVED
    Since 2024-07-03

Branch Locations

3257 Route 9 Ste 1, Saratoga Sprgs, NY 12866 • 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
Unemployed Ballston Spa NY 12/2023 04/2024
Morgan Stanley Saratoga Springs NY 03/2020 12/2023
Ayco Latham NY 09/2014 03/2020
Joseph Anderson Saratoga Springs NY 05/2024 06/2024
Joseph Anderson Saratoga Spgs NY 06/2024 Present
Northwestern Mutual Investment Services Llc Saratoga Spgs NY 06/2024 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2024 Present
  • 12/2023 → 04/2024
    Unemployed
    Ballston Spa, NY
  • 03/2020 → 12/2023
    Saratoga Springs, NY
  • 09/2014 → 03/2020
    Ayco
    Latham, NY
  • 05/2024 → 06/2024
    Joseph Anderson
    Saratoga Springs, NY
  • 06/2024 → Present
    Joseph Anderson
    Saratoga Spgs, NY
  • 06/2024 → Present
    Saratoga Spgs, NY
  • 08/2024 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2020-07-20 → 2023-12-13
    Glens Falls, NY
    Latham, NY
    Saratoga Springs, NY
    Latham, NY
Other Businesses

1. The Giving Circle , Not Investment-related, PO Box 3162, Saratoga Springs, NY, USA, 12866, President Board of Directors, Start Date: 06/01/2022, 25 hrs per week, 0 trading hrs per week, Non profit, Duties: Facilitate board meetings coordinate volunteers and sponsors fundraising public speaking to increase awareness create partnerships with other local non profits. 2. PRESIDENT/BOARD OF DIRECTORS, THE GIVING CIRCLE, PO BOX 3162, SARATOGA SPRINGS, , NEW YORK, 12866, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 6/1/2022, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 0-5, FACILITATE BOARD MEETINGS; COORDINATE VOLUNTEERS AND SPONSORS; FUNDRAISING; PUBLIC SPEAKING TO INCREASE AWARENESS; CREATE AND MAINTAIN PARTNERSHIPS WITH OTHER LOCAL NON-PROFITS. non investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-20
S63 Uniform Securities Agent State Law Examination 2015-10-30
  • S66 Uniform Combined State Law Examination
    2020-07-20
  • S63 Uniform Securities Agent State Law Examination
    2015-10-30
Other Names
  • Joyce Mary Brundage
  • Joyce Mary Rice
  • Joyce M Rice

View on SEC IAPD

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