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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-02-21
  • CA RA
    APPROVED
    Since 2020-02-21

Branch Locations

1230 Rosecrans Ave Ste 100, Manhattan Bch, CA 90266 • 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 09/2013 Present
Northwestern Mutual Investment Services, Llc Los Angeles CA 10/2013 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 09/2013 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 10/2013 → Present
    Los Angeles, CA
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Other Businesses

1. TREASURER, GIRLS SCOUT TROOP 3015, 920 BERYL ST, REDONDO BEACH, , CALIFORNIA, 90277, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 01/05/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SIGN CHECKS, MANAGE BANK ACCOUNT, FINANCIAL REPORTING. Non investment related. 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, INVESTMENT RELATED. 3. SSVA INSURANCE SERVICES, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 10/07/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-25
  • S66 Uniform Combined State Law Examination
    2014-02-25
Designations
Other Names
  • Raj Ram Gupta

View on SEC IAPD

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