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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2019-12-11 |
Branch Locations
3302 Mallard Cove Lane, Fort Wayne, IN 46804 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2015 | 01/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 06/2016 | 01/2017 |
| Rob Hayworth | Fort Wayne | IN | 12/2019 | 03/2024 |
| Kevin Bontrager | Fort Wayne | IN | 12/2019 | 03/2024 |
| Jonathan Lehman | Fort Wayne | IN | 12/2019 | 03/2024 |
| Randall Lehman | Fort Wayne | IN | 12/2019 | 03/2024 |
| Northwestern Mutual Investment Services Llc | Fort Wayne | IN | 12/2019 | Present |
| Securian | Hiawatha | IA | 01/2017 | 11/2019 |
| Northwestern Mutual Investment Services Llc | Fort Wayne | IN | 10/2015 | 01/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2020 | Present |
| W Brian Drake | Fort Wayne | IN | 04/2021 | 03/2024 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 02/2024 | Present |
| 1857, Llc | Fort Wayne | IN | 03/2024 | Present |
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. SMG LEGACY OF ILLINOIS, INC., LEGAL ENTITY, START DATE: 8/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 3. SMG INSURANCE HOLDINGS LLC, LEGAL ENTITY, START DATE: 8/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 4. OWNER, SMG LEGACY, INC., LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 5/21/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80; ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 5. OWNER, 1857, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 5/21/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 6. OWNER, 1888, LLC, LEGAL ENTITY - RECEIVING RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 5/21/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-22 |
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