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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-11 |
Branch Locations
19950 W Country Club Dr Suite 802, Aventura, FL 33180 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ezm Automotive Llc | Redwood City | CA | 06/2018 | Present |
| Prudential | Walnut Creek | CA | 09/2016 | 02/2022 |
| Bay Motors Inc | San Mateo | CA | 09/2015 | 12/2016 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 02/2023 | Present |
| Northwestern Mutual Investment Services Llc | San Francisco | CA | 04/2023 | 03/2025 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 10/2024 | Present |
| Northwestern Mutual Investment Services Llc | Aventura | FL | 03/2025 | Present |
1. EZM Automotive LLC, Not Investment-related, 1420 STAFFORD ST, Redwood City, CA, USA, 94063, 100% Owner, Start Date: 06/01/2018, 10 hrs per week, 10 trading hrs per week, Business supervision, Duties: Overlooking business operations. 2. 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 3. 1420 STAFFORD ST, REDWOOD CITY, , CALIFORNIA, 94063, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 6/30/2018, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER AND SUPERVISOR. NON-INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-09 |
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