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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2014-03-11 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Ins. Co. | Milwaukee | WI | 12/1988 | Present |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 12/1990 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL OR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS., 2. 100% OWNER, CAPTAIN WALT LLC, 14 PLATT ST APT 2, NORWALK, , CONNECTICUT, 06855, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 05/25/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOAT CHARTERS AND HIRED CAPTAIN 3. OUTSIDE INSURANCE SALES/SERVICING, GENERAL SALES/SERVICING, START DATE: 3/18/2005, SALES AND SERVICE OF NON-NORTHWESTERN MUTUAL INSURANCE PRODUCTS.; NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-27 |
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