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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2006-01-18
  • IN RA
    APPROVED
    Since 2006-01-18

Branch Locations

9998 Crosspoint Blvd, Ste 400, Indianapolis, IN 46256 • 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 Milwaukee WI 02/1989 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 09/1990 Present
Northwestern Mutual Investment Services, Llc Indianapolis IN 01/2006 Present
Independent Contractor Fishers IN 01/2010 Present
Norwestern Mutual Wealth Management Company Milwaukee WI 12/2014 Present
Other Businesses

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; NOT INVESTMENT-RELATED. 2. POA, MARY JEAN ELLIS (IMMEDIATE FAMILY), POA/EXECUTOR, START DATE: 11/21/2023, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, NOT INVESTMENT-RELATED. 3. POA AND EXECUTOR FOR JUDY R DEKEN (IMMEDIATE FAMILY), POA/EXECUTOR, START DATE: 11/21/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NOT INVESTMENT-RELATED. 3. TRUSTEE, W.D. IRREVOCABLE TRUST, IMMEDIATE FAMILY, START DATE: 11/13/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PAY TO OR APPLY FOR THE BENEFIT OF THE BENEFICIARY SO MUCH OF THE NET INCOME AND PRINCIPAL OF HIS OR HER TRUST SHARE AS THE TRUSTEE DETERMINES, IN ITS DISCRETION, TO BE NECESSARY OR ADVISABLE FOR THE BENEFICIARYÂ??S HEALTH, EDUCATION, MAINTENANCE, AND SUPPORT IN ACCORDANCE WITH THE STYLE AND MANNER OF LIVING TO WHICH HE OR SHE IS ACCUSTOMED; NON INVESTMENT-RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-11
S63 Uniform Securities Agent State Law Examination 1992-06-26
  • S65 Uniform Investment Adviser Law Examination
    2000-07-11
  • S63 Uniform Securities Agent State Law Examination
    1992-06-26
Designations
Other Names
  • Norm Deken

View on SEC IAPD

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