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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2008-01-24
  • KS RA
    APPROVED
    Since 2008-01-24

Branch Locations

5251 W 116Th Pl Ste 300, Leawood, KS 66211 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 07/1994 → Present
    Northwestern Mutual Life Ins Co
    Milwaukee, WI
  • 08/1994 → Present
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2004-09-03 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-09-01
S63 Uniform Securities Agent State Law Examination 1991-12-06
  • S65 Uniform Investment Adviser Law Examination
    2004-09-01
  • S63 Uniform Securities Agent State Law Examination
    1991-12-06

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