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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2006-01-24 |
Branch Locations
4215 Edison Lakes Pkwy Ste 200, Mishawaka, IN 46545 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Compa | Milwaukee | WI | 02/1988 | Present |
| Northwestern Mutual Investment Services, Llc | Mishawaka | IN | 09/2010 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 10/2010 | Present |
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. 100% OWNER, EIGHTEEN SEVENTY EIGHT, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/1/2023, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 3. 100% OWNER, FOURTH QUARTER, LLC, LEGAL ENTITY, START DATE: 1/1/2023, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 4. OWNER, SMG LEGACY INC. (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 08/08/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 5. OWNER, 1857, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 8/8/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 6. OWNER, 1888, LLC, LEGAL ENTITY - RECEIVING RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 8/8/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40; ESTABLISHED FOR BUSINESS PURPOSES. INVESTMENT-RELATED. 7. SMG INSURANCE HOLDINGS, LLC, LEGAL ENTITY, START DATE: 5/20/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 8. SMG LEGACY OF ILLINOIS, INC, LEGAL ENTITY, START DATE: 7/1/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 1991-04-26 |
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