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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-06-28
  • FL RA
    APPROVED
    Since 2023-06-28

Branch Locations

700 Central Avenue Suite 300, St Petersburg, FL 33701 • United States

377 E Butterfield Rd Ste 400, Lombard, IL 60148 • 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
Southern Illinois University Carbondale IL 08/1989 Present
Northwestern Mutual Life Insurance Milwaukee WI 01/1992 Present
Northwestern Mutual Investment Services, Llc St Petersburg FL 02/1993 07/2023
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 08/1989 → Present
    Southern Illinois University
    Carbondale, IL
  • 01/1992 → Present
    Northwestern Mutual Life Insurance
    Milwaukee, WI
  • 02/1993 → 07/2023
    St Petersburg, FL
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2007-02-23 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-24
S63 Uniform Securities Agent State Law Examination 1993-11-12
  • S66 Uniform Combined State Law Examination
    2006-01-24
  • S63 Uniform Securities Agent State Law Examination
    1993-11-12
Designations

View on SEC IAPD

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