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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2002-11-01 |
Branch Locations
700 Commerce Dr Ste 201, Oak Brook, IL 60523 • United States
1 disclosure category 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 | 10/1990 | Present |
| Northwestern Mutual Investment Services, Llc | Chicago | IL | 06/1991 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2007 | 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. 60% OWNER, CDBS HOLDINGS, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 10/05/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. 100% OWNER, WAIOLA AVENUE HOLDINGS, LLC, LEGAL ENTITY, START DATE: 10/05/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, NON-INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-23 |
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