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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2012-11-14
  • SD RA
    APPROVED
    Since 2012-11-14

Branch Locations

2307 W 57Th St Ste 200, Sioux Falls, SD 57108 • 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 Investment Services, Llc Sioux Falls SD 05/1999 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 06/1999 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 05/1999 → Present
    Sioux Falls, SD
  • 06/1999 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2002-07-01 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 2001-12-14 → 2006-01-31
    Network Planning Advisors, L.L.C.
    Sioux Falls, SD
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. 2. VICE PRESIDENT - NON-PROFIT OR 501C ORGANIZATION, CIVIC ORGANIZATION, OR NETWORKING/TRADE GROUP. DAKOTAS WALK TO EMMAUS. 302 EAST 5TH STREET, DELL RAPIDS, SOUTH DAKOTA, 57022 3. CHAIR, FINANCE COMMITTEE, DAKOTAS CONFERENCE OF THE UNITED METHODIST CHURCH, 1331 W UNIVERSITY, MITCHELL, , SOUTH DAKOTA, 57301, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 9/30/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I SIT ON THE BOARD OF PENSIONS. I WILL ACT IN THE CAPACITY OF CHAIR OF THE SUB GROUP OF THE FINANCE COMMITTEE; NON INVESTMENT-RELATED. 4. 100% OWNER, 93 LANDON LANE, 93 LANDON LANE, SHERIDAN, , WYOMING, 82801, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 08/18/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER, INVESTMENT RELATED. 5. 100% OWNER, ABOVE THE HIGHLINE, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 11/17/2023, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 6. 100% OWNER, 234 EAST BABCOCK STREET, 234 EAST BABCOCK STREET, BOZEMAN, , MONTANA, 59715, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 09/11/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER. INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-29
S63 Uniform Securities Agent State Law Examination 1991-08-29
  • S65 Uniform Investment Adviser Law Examination
    1992-08-29
  • S63 Uniform Securities Agent State Law Examination
    1991-08-29
Designations

View on SEC IAPD

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