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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2026-01-15
  • NJ RA
    APPROVED
    Since 2026-01-15

Branch Locations

2500 York Rd Ste 200, Jamison, PA 18929 • United States

202 Carnegie Ctr Ste 201, Princeton, NJ 08540 • 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 11/1990 Present
Northwestern Mutual Investment Services, Llc Princeton NJ 07/1993 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
Previous Registrations
  • 2006-03-28 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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. BOYS & GIRLS CLUB OF AMERICA. - 212 CENTRE ST. TRENTON. NJ 08611 - COMMITTEE TO OVERSEE FINANCE AND AUDIT FUNCTIONS - 2-4 HOURS PER MONTH. START DATE 5/1/14. INVESTMENT RELATED. 3. 100% OWNER, 129A PROVIDENCE WAY, LLC, 129A PROVIDENCE WAY, MONROE, , NEW JERSEY, 08831, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 07/27/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, RENTING TO A FAMILY MEMBER 4. OWNER, TG FORUM INC., LEGAL ENTITY, START DATE: 3/29/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 5. OWNER, RHINO PARTNERS INSURANCE SERVICES, LLC., LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 2/24/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-08-17
S63 Uniform Securities Agent State Law Examination 1997-11-07
  • S65 Uniform Investment Adviser Law Examination
    2005-08-17
  • S63 Uniform Securities Agent State Law Examination
    1997-11-07
Designations
Other Names
  • Tom Gallina

View on SEC IAPD

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