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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2007-09-20
  • NC RA
    APPROVED
    Since 2007-09-20

Branch Locations

1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • 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. 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
  • 04/1993 → Present
    Northwestern Mutual Life Ins. Co
    Milwaukee, WI
  • 06/1993 → Present
    Raleigh, NC
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2006-07-03 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-15
S63 Uniform Securities Agent State Law Examination 1993-09-07
  • S65 Uniform Investment Adviser Law Examination
    1999-11-15
  • S63 Uniform Securities Agent State Law Examination
    1993-09-07

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