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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2008-01-24 |
Branch Locations
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 | 07/1994 | Present |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 08/1994 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2007 | Present |
1. BOARD MEMBER OF BLACK FARMS, INC; NO INVESTMENT DUTIES OR COMPENSATION. 2. 48% Owner, JOHN S. BLACK FAMILY FARMS, LP, NON-INVESTMENT RELATED, 424 RICH ST SLATER MO 65349, GENERAL PARTNER AND LIMITED PARTNER, STRT 12/27/2012, 2HRS/MTH, 0HRS/TRADING, ADMINISTRATIVE DUTIES. 3. 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. 4. 13.6% OWNER, JOHN S BLACK FARMS (EQUIPMENT), 818 N. BROADWAY ST., SLATER, , MISSOURI, 65349, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 10/25/2013, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, 13.6% OWNERSHIP REPRESENTS STAKE IN FAMILY FARM. 6. 100% OWNER, MONTROOCH ENTERPRISES LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 12/06/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. INVESTMENT RELATED. 7. 100% OWNER, NEELOSH ENTERPRISES LLC, LEGAL ENTITY, START DATE: 12/06/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. NON-INVESTMENT RELATED 8. PRESIDENT, SUSAN R BLACK CANCER FOUNDATION , 12916 HOWE DR, LEAWOOD, , KANSAS, 66209, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 6/28/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-06 |
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