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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2024-10-11 |
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 |
|---|---|---|---|---|
| Mass Mutual | Fort Wayne | IN | 11/2022 | 12/2023 |
| Knights Of Columbus | New Haven | CT | 05/2014 | 11/2022 |
| Northwestern Mutual Investment Services Llc | Fort Wayne | IN | 01/2024 | Present |
| Randall T Lehman | Fort Wayne | IN | 01/2024 | 04/2024 |
| Smg, Inc. | Fort Wayne | IN | 04/2024 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2024 | Present |
1. FINANCE COUNCIL MEMBER, ST PETER'S CATHOLIC CHURCH, 518 E DEWALD ST, FORT WAYNE, , INDIANA, 46803, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 04/08/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ATTEND QUARTERLY MEETINGS AND TO MAINTAIN FISCAL ACCOUNTABILITY. non investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-03-28 |
| S65 | Uniform Investment Adviser Law Examination | 2021-08-26 |
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