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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2007-09-20 |
Branch Locations
1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Ins. Co | Milwaukee | WI | 04/1993 | Present |
| Northwestern Mutual Investment Services, Llc | Raleigh | NC | 06/1993 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2007 | Present |
1. BUSINESS & ESTATE ANALYSIS, INC., 308F WEST MILLBROOK RD., RALEIGH, NC 27609, OWNER, 10 HRS/MO SINCE 1993, SALES OF FIXED INSURANCE AND ANNUITY PRODUCTS. TRUSTEE, FOR JERRY MITCHELL REV TRUST. 2. 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. 3. OWNER OF RENTAL PROPERTY WITH WIFE. 1835 BRANTLEY ST, WINSTON-SALEM, NC. PROPERTY LEASED OUT, NO TIME SPENT, INVESTMENT RELATED, START DATE 5/2007. 4. 20% OWNER, MBP OF WAKE, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/26/2022, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. BOARD MEMBER/FINANCE COMMITTEE, WFC BIRTHPLACE SOCIETY, 414 N MAIN ST, WAKE FOREST, , NORTH CAROLINA, 27587, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 3/1/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOARD MEMBER OF 25 MEMBER BOARD, APPOINTED TO 5 PERSON FINANCE COMMITTEE IN MARCH OF 2023
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-07 |
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