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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2025-01-01
  • MI RA
    APPROVED
    Since 2025-01-01

Branch Locations

101 W Big Beaver Rd Ste 500, Troy, MI 48084 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 05/2004 Present
Northwestern Mutual Investment Services, Llc Troy MI 03/2005 Present
Eastern Michigan University Ypsilanti MI 09/2000 Present
Northwestern Mutual Investment Services, Llc Troy MI 04/2013 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2014 Present
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND /OR DISABILITY INCOME INSURANCE PRODUCTS. 2. MICHIGAN, 48237, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 06/23/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I WOULD BE ONE OF THE PARTICIPANTS ON THE 401(K) COMMITTEE. 3. BOARD MEMBER, CAMP CASEY, 25882 ORCHARD LAKE RD, FARMINGTON HILLS, MI 48336, , MICHIGAN, 48336, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 9/1/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I WAS RECENTLY NOMINATED TO SERVE ON THE FINANCE COMMITTEE 4. 100% OWNER, TRW DISTRICT NETWORK OFFICE, LLC, MD/DD DISTRICT AGENT LEGAL ENTITY, START DATE: 11/12/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SAME AS BEING AN ADVISOR AND DISTRICT AGENT 5. TRUSTEE, TEK R. WIEGERT LIVING TRUST UAD 03/06/2020, IMMEDIATE FAMILY, START DATE: 12/3/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ACTING AS A TRUSTEE FOR MY OWN TRUST 6. EQUITY OWNER, LWC USA LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 3/25/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-04-17
S63 Uniform Securities Agent State Law Examination 2006-11-29
  • S66 Uniform Combined State Law Examination
    2013-04-17
  • S63 Uniform Securities Agent State Law Examination
    2006-11-29

View on SEC IAPD

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