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William Joseph Duffy

Northwestern Mutual Investment Services, LLC

Franklin, WI

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2002-03-28
  • WI RA
    APPROVED
    Since 2002-03-28

Branch Locations

One Northwestern Mutual Way, Franklin, WI 53132 • 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 11/2001 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 11/2001 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2011 Present
  • 11/2001 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 11/2001 → Present
    Northwestern Mutual Investment Services, Llc
    Milwaukee, WI
  • 11/2011 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-25
S63 Uniform Securities Agent State Law Examination 1998-11-05
  • S65 Uniform Investment Adviser Law Examination
    1998-11-25
  • S63 Uniform Securities Agent State Law Examination
    1998-11-05
Other Names
  • William Duffy

View on SEC IAPD

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