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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2019-03-12 |
Branch Locations
3549 North University Avenue Suite 175, Provo, UT 84604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Co | Milwaukee | WI | 12/2004 | 10/2018 |
| Northwestern Mutual Investment Services Llc | Provo | UT | 06/2005 | 10/2018 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2016 | 10/2018 |
| Commonwealth Financial Network | San Diego | CA | 10/2018 | 09/2019 |
| Merrill Financial Associates | Provo | UT | 10/2018 | Present |
| Commonwealth Financial Network | San Diego | CA | 09/2019 | Present |
1. Fixed insurance sales; as of 08/31/2018; 5% time spent during regular business hours; Conducted at branch; Investment related. 2. Member and Owner, MAM-GSM, LLC, a private entity established to receive income from familial assets; As of 01/15/20; 0% time spent during regular business hours; Not conducted at branch; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-23 |
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