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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2006-01-30
  • IN RA
    APPROVED
    Since 2006-01-30

Branch Locations

404 Washington Street Suite 204, Columbus, IN 47201-6758 • 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 Milwaukee WI 06/1990 Present
Northwestern Mutual Investment Services, Llc Indianapolis IN 09/1992 Present
Northwestern Mutual Investment Services, Llc Columbus IN 01/2006 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 03/2010 Present
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. BOARD MEMBER, BRIDGE TO DOVE, 719 5TH STREET, COLUMBUS, , INDIANA, 47201, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 03/14/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOARD MEMBER, ADVISORY, ASK FOR FINANCIAL SUPPORTERS 3. 100% OWNER, 4800 EAST 300 SOUTH, 4800 EAST 300 SOUTH, COLUMBUS, , INDIANA, 47201, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 5/10/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWN 100 ACRES OF TILLABLE FARM GROUND. INVESTMENT RELATED. 4. EXECUTIVE BOARD MEMBER, COLUMBUS AREA CHAMBER OF COMMERCE, 250 FRANKLIN STREET, COLUMBUS, , INDIANA, 47201, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 01/28/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, EXECUTIVE BOARD FOR COLUMBUS AREA CHAMBER AND THE COLUMBUS CHAMBER FOUNDATION. NON INVESTMENT RELATED. 5. BOARD MEMBER, RILEY CHILDREN HOSPITAL REGIONAL PHILANTHROPY BOARD, NON-PROFIT, START DATE: 1/1/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I RUN MEETINGS OF THE RILEY CHILDREN HOSPITAL REGIONAL PHILANTHROPY BOARD. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-08
S63 Uniform Securities Agent State Law Examination 1992-12-23
  • S66 Uniform Combined State Law Examination
    2006-09-08
  • S63 Uniform Securities Agent State Law Examination
    1992-12-23
Designations
Other Names
  • Matt Carothers

View on SEC IAPD

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