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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2007-10-02
  • PA RA
    APPROVED
    Since 2007-10-02

Branch Locations

2945 Banksville Rd Ste 200, Pittsburgh, PA 15216 • 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 Life Ins. (Nml) Milwaukee WI 06/1990 Present
Northwestern Mutual Investment Services, Llc Pittsburgh PA 04/1992 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
Northwetsern Mutual Investment Services, Llc Pittsburgh PA 06/2011 Present
  • 06/1990 → Present
    Northwestern Mutual Life Ins. (Nml)
    Milwaukee, WI
  • 04/1992 → Present
    Pittsburgh, PA
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 06/2011 → Present
    Northwetsern Mutual Investment Services, Llc
    Pittsburgh, PA
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. 50% OWNER, DAG REAL ESTATE, LLC, INVESTMENT RELATED, 1701 MCFARLAND RD PITTSBURG PA 15216, START 12/2014, 0-5 HR/MO, REAL ESTATE HOLDING COMPANY. 3. DAG RESOURCES, LLC, 1701 MCFARLAND RD, PITTSBURGH, , PENNSYLVANIA, 15216, UNITED STATES OF AMERICA, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 10/7/2009, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 4. 100% OWNER, AMYDAN PROPERTIES, LLC, INVESTMENT RELATED, STARTED 8/2013, 0-5 HRS PER MONTH, ENTITY FORMED TO HOLD REAL ESTATE. 5.COACH, 2 X 2 X 2, BUSINESS RELATED COACHING, START DATE: 11/30/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, COACHING NM FINANCIAL ADVISORS 6. OTHER NON-FINANCIAL SERVICE BUSINESS, CENTRAL PENNSYLVANIA SCHOLARSHIP FUND RANDY TARPEY IS THE UMBRELLA SPECIAL PURPOSE ENTITY WHICH OWNS MY SPECIAL PURPOSE ENTITY TITLED CENTRAL PENNSYLVANIA SPECIAL PURPOSE ENTITY TWO LLC, 227 JEFFERSON AVE, TYRONE, , PENNSYLVANIA, 16686, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 10/26/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I AI AM A MEMBER OF CENTRAL PENNSYLVANIA SPECIAL PURPOSE ENTITY TWO LLC. I SIGN A NON-BINDING JOINDER ALLOWING ME TO MAKE CONTRIBUTIONS TO NON-PROFIT SCHOOLS. BECAUSE THE LLC WILL BE GRANTED PENNSYLVANIA STATE INCOME TAX CREDITS I WILL BE AWARDED THOSE CREDITS IN PROPORTION TO MY CONTRIBUTION. MY CONTRIBUTIONS WILL VARY EACH YEAR. 7. 100% OWNER, AMYDAN+5 LLC, LEGAL ENTITY, START DATE: 03/31/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-02
S63 Uniform Securities Agent State Law Examination 1992-11-17
  • S65 Uniform Investment Adviser Law Examination
    2006-01-02
  • S63 Uniform Securities Agent State Law Examination
    1992-11-17

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