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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2007-07-18
  • IL RA
    APPROVED
    Since 2007-07-18

Branch Locations

55 Shuman Blvd Ste 600, Naperville, IL 60563 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 01/2005 Present
Northwestern Mutual Investment Services, Llc North Aurora IL 04/2005 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 01/2005 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 04/2005 → Present
    North Aurora, IL
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. 51 % OWNER OF SIEGFRIED DEVELOPMENT GROUP LLC, FOR DEVELOPMENT OF RESIDENTIAL AND COMMERCIAL REAL ESTATE. 2. CONTROLING OWNERSHIP OF THE HARRIS BANK LAND TRUST. 1225 ROOSEVELT RD WEST CHICAGO IL 60185. ONLY FAMILY MEMEBERS ARE INVOLVED. 5 HRS/MONTH. INVESTMENT RELATED.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. 3. GENERAL CHAIR, ROMAN CATHOLIC DIOCESE OF ROCKFORD, ILLINOIS, 555 COLMAN CENTER DRIVE, ROCKFORD, , ILLINOIS, 61108, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 12/04/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, ASSIST AND ADVISE BISHOP MALLOY AND DIOCESAN LEADERS WITH OVERSEEING AND STRATEGIZING ON THE 2025-2027 CAPITAL CAMPAIGN. NON INVESTMENT RELATED. 4. INTEGRATED MANAGEMENT PARTNERS, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 12/15/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. ADRIAN UNLIMITED, LEGAL ENTITY, START DATE: 12/15/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-07-09
S63 Uniform Securities Agent State Law Examination 2005-06-09
  • S65 Uniform Investment Adviser Law Examination
    2007-07-09
  • S63 Uniform Securities Agent State Law Examination
    2005-06-09

View on SEC IAPD

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